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••• J•••• M•••
- S••••••••• L•• independent RIA currentsince Jan 13, 2021 · Atlanta, Ga
- P•• W••••• M••••••••• BD affiliatedAug 11, 2015 to Apr 19, 2018 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseOct 9, 2014 to Aug 12, 2015 · Charlotte, Nc
- S••••••• I••••••••• I••• formerJul 15, 2014 to Sep 10, 2014 · Charlotte, Nc
- P•• W••••• M••••••••• to S••••••••• L••left Apr 19, 2018, registered Jan 13, 2021 (1000 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Aug 12, 2015, registered Aug 11, 2015 (-1 days) · Other
- S••••••• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Sep 10, 2014, registered Oct 9, 2014 (29 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address