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.
R••• C••••••••• G•••••••
- A••••••••• I••••••••• L•• state registered currentsince Sep 13, 2019 · Kernersville, Nc
- H•••••• T••••••• • K•••• L•• independent RIAApr 3, 2017 to Sep 10, 2019 · Greensboro, Nc
- W•••••• • R••• formerMay 26, 2016 to Feb 2, 2017 · Columbia, Sc
- H•••••• T••••••• • K•••• L•• to A••••••••• I••••••••• L••left Sep 10, 2019, registered Sep 13, 2019 (3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••••• • R••• to H•••••• T••••••• • K•••• L••left Feb 2, 2017, registered Apr 3, 2017 (60 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address