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•••••• G••••••
- F••••• F•••••••• state registered currentsince Jan 12, 2022 · Salisbury, Nc
- H•••••• T••••••• • K•••• L•• independent RIAFeb 21, 2019 to Jan 3, 2022 · Charlotte, Nc
- P••• A••••• S••••••••• L•• BD affiliatedJan 20, 2016 to Feb 19, 2019 · Charlotte, Nc
- H•••••• T••••••• • K•••• L•• to F••••• F••••••••left Jan 3, 2022, registered Jan 12, 2022 (9 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P••• A••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left Feb 19, 2019, registered Feb 21, 2019 (2 days) · Affiliated broker-dealer or bank to another
- S•••••• M•••••• G•••••• left H•••••• T••••••• • K•••• L•• for F••••• F•••••••• (registered 2022-01-12)Jan 3, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address