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.
B•••••• M•••••• S•••••••
- A••• I••••• A••••••• independent RIA currentsince Aug 17, 2021 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 21, 2018 to Apr 30, 2021 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedJan 16, 2018 to Jan 30, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseOct 7, 2015 to Aug 29, 2017 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• to A••• I••••• A•••••••left Apr 30, 2021, registered Aug 17, 2021 (109 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Jan 30, 2018, registered Feb 21, 2018 (22 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Aug 29, 2017, registered Jan 16, 2018 (140 days) · Wirehouse to affiliated broker-dealer or bank
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address