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.
J••••• R•••• B•••••
- M•••••••• W••••• A••••••• L•• independent RIA currentsince Sep 30, 2021 · Charlotte, Nc
- C•••••• F•••••••• A••••••••• I•• formerFeb 22, 2019 to Sep 30, 2021 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDAug 6, 2015 to Jan 29, 2019 · Greenville, Nc
- C•••••• F•••••••• A••••••••• I•• to M•••••••• W••••• A••••••• L••left Sep 30, 2021, registered Sep 30, 2021 (0 days) · RIA to a newly registered adviser · moved with a team
- E•••••••• A•••••••• L•• to C•••••• F•••••••• A••••••••• I••left Jan 29, 2019, registered Feb 22, 2019 (24 days) · Affiliated broker-dealer or bank to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address