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.
R••••• C•••••• F•••
- V••••••• A•••••••• I••• BD affiliated currentsince Oct 10, 2024 · Charlotte, Nc
- F•••• independent RIAFeb 6, 2024 to Sep 25, 2024 · Huntersville, Nc
- V••••••• A•••••••• I••• BD affiliatedJul 5, 2019 to Jan 25, 2024 · Charlotte, Nc
- F•••• to V••••••• A•••••••• I•••left Sep 25, 2024, registered Oct 10, 2024 (15 days) · RIA to affiliated broker-dealer or bank
- V••••••• A•••••••• I••• to F••••left Jan 25, 2024, registered Feb 6, 2024 (12 days) · Affiliated broker-dealer or bank to independent RIA
- R••••• C•••••• F••• left Facet for V••••••• A•••••••• I••• (registered 2024-10-10)Sep 25, 2024 · Advisor changed firm · fact
- R••••• C•••••• F••• left V••••••• A•••••••• I••• for Facet (registered 2024-02-06)Jan 25, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address