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.
W•••••• C•••••••• B•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 26, 2023 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 16, 2021 to Oct 24, 2023 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseApr 3, 2020 to Jul 16, 2021 · Charlotte, Nc
- I••••••••• F•••••••• S•••••••• I••• independent RIAApr 17, 2019 to Oct 27, 2020 · Huntersville, Nc
- W•••• F•••• A••••••• wirehouseAug 2, 2018 to Mar 26, 2019 · Charlotte, Nc
- P••• A••••• S••••••••• L•• BD affiliatedJan 24, 2018 to Jul 3, 2018 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••left Oct 24, 2023, registered Oct 26, 2023 (2 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 16, 2021, registered Sep 16, 2021 (62 days) · Wirehouse to affiliated broker-dealer or bank
- I••••••••• F•••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 27, 2020, registered Apr 3, 2020 (-207 days) · RIA to wirehouse
- W•••• F•••• A••••••• to I••••••••• F•••••••• S•••••••• I•••left Mar 26, 2019, registered Apr 17, 2019 (22 days) · Wirehouse to independent RIA
- P••• A••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 3, 2018, registered Aug 2, 2018 (30 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• C•••••••• B••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2023-10-26)Oct 24, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address