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.
G•••••• S•••• V••••••
- B•• W••••• independent RIA currentsince Nov 29, 2024 · Rock Hill, Sc
- A••••• A•• P••••••• S••••••• BD affiliatedJun 29, 2023 to Nov 4, 2024 · Charlotte, Nc
- C•••••• S••••• • C••• I••• national BDDec 10, 2015 to May 12, 2023 · Lone Tree, Co
- A••••• A•• P••••••• S••••••• to B•• W•••••left Nov 4, 2024, registered Nov 29, 2024 (25 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left May 12, 2023, registered Jun 29, 2023 (48 days) · Affiliated broker-dealer or bank to another
- G•••••• S•••• V•••••• left A••••• A•• P••••••• S••••••• for B•• W••••• (registered 2024-11-29)Nov 4, 2024 · Advisor changed firm · fact
- G•••••• S•••• V•••••• left C•••••• S••••• • C••• I••• for A••••• A•• P••••••• S••••••• (registered 2023-06-29)May 12, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address