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.
S•••• M•••••••• A•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 30, 2024 · Trent Woods, Nc
- C•••••• L•• independent RIAMay 8, 2019 to Jul 3, 2024 · Charlotte, Nc
- Q••••• O•• A••••••• formerJan 19, 2018 to Apr 11, 2019 · Charlotte, Nc
- C•••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 3, 2024, registered Jul 30, 2024 (27 days) · RIA to affiliated broker-dealer or bank
- Q••••• O•• A••••••• to C•••••• L••left Apr 11, 2019, registered May 8, 2019 (27 days) · RIA to RIA
- S•••• M•••••••• A••••• left C•••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-07-30)Jul 3, 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