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.
A••• H•••••• W•••••
- S••••••• C•••••• M••••••••• L•• mixed wealth currentsince Nov 3, 2023 · Miami, Fl
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedMar 21, 2019 to Nov 3, 2023 · Hickory, Nc
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedMay 15, 2013 to Jan 7, 2014 · Raleigh, Nc
- C•••••• I••••••••• A••••••• S•••••••• L•• to S••••••• C•••••• M••••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · Other
- A••• H•••••• W••••• left C•••••• I••••••••• A••••••• S•••••••• L•• for S••••••• C•••••• M••••••••• L•• (registered 2023-11-03)Nov 3, 2023 · Advisor changed firm · fact
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address