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.
S••••• M••••••• A•••••••
- C••••• G••••• F•••••••• A•••••••• L•• independent RIA currentsince Aug 23, 2019 · Asheville, Nc
- W•••• F•••• A••••••• wirehouseFeb 28, 2017 to Aug 13, 2019 · Waynesville, Nc
- L•• F•••••••• L•• BD affiliatedJan 20, 2015 to Mar 15, 2017 · Asheville, Nc
- W•••• F•••• A••••••• to C••••• G••••• F•••••••• A•••••••• L••left Aug 13, 2019, registered Aug 23, 2019 (10 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 15, 2017, registered Feb 28, 2017 (-15 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address