RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
C•••• H••••• D•••••• F••••
- A••••••• W••••• M••••••••• state registered currentsince Nov 5, 2019 · Matthews, Nc
- T••••• • M••••• A•••• M••••••••• L•• D•••• T• A•••••••• L• independent RIAMay 7, 2013 to Dec 18, 2018 · Charlotte, Nc
- W••••• D••••• I••••••••• I••• unclassifiedJul 30, 2008 to Dec 31, 2010 · Charlotte, Nc
- T••••• • M••••• A•••• M••••••••• L•• D•••• T• A•••••••• L• to A••••••• W••••• M•••••••••left Dec 18, 2018, registered Nov 5, 2019 (322 days) · RIA to a state-registered adviser
- W••••• D••••• I••••••••• I••• to T••••• • M••••• A•••• M••••••••• L•• D•••• T• A•••••••• L•left Dec 31, 2010, registered May 7, 2013 (858 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address