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.
C••• W•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 8, 2021 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 13, 2018 to Jan 3, 2020 · Charlotte, Nc
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 30, 2016 to Dec 13, 2016 · Charlotte, Nc
- T•••• A•••••••• L•• formerJul 6, 2015 to Jul 1, 2016 · Charlotte, Nc
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 12, 2015 to Mar 3, 2015 · Charlotte, Nc
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W•••• F•••• A•••••••left Dec 13, 2016, registered Dec 13, 2018 (730 days) · Other
- T•••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 1, 2016, registered Jun 30, 2016 (-1 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••• A•••••••• L••left Mar 3, 2015, registered Jul 6, 2015 (125 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address