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••••••• institutional currentsince Nov 15, 2022 · Wilmington, Nc
- H•••••••• A•••••••• L•• BD affiliatedMar 26, 2021 to Oct 28, 2022 · Chicago, Il
- O••••••• F•••••••• G••••• I••• independent RIAJun 5, 2017 to Apr 9, 2021 · Wilmington, Nc
- N•••••• C•••••• M••••••••• mixed wealthJan 8, 2016 to Apr 20, 2016 · Marietta, Ga
- H•••••••• A•••••••• L•• to C•••••••left Oct 28, 2022, registered Nov 15, 2022 (18 days) · Other · moved with a team
- O••••••• F•••••••• G••••• I••• to H•••••••• A•••••••• L••left Apr 9, 2021, registered Mar 26, 2021 (-14 days) · RIA to affiliated broker-dealer or bank
- N•••••• C•••••• M••••••••• to O••••••• F•••••••• G••••• I•••left Apr 20, 2016, registered Jun 5, 2017 (411 days) · Other
- S•••• H••••• left H•••••••• A•••••••• L•• for Captrust (registered 2022-11-15)Oct 28, 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
- Institutional managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address