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.
D••••• J•••• S•••••••
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Jan 26, 2024 · Huntersville, Nc
- A••• I••••• A••••••• independent RIANov 10, 2021 to Oct 17, 2023 · Charlotte, Nc
- V••••••• A•••••••• I••• BD affiliatedMay 7, 2018 to Oct 1, 2021 · Charlotte, Nc
- A••• I••••• A••••••• to T• R••• P•••• A••••••• S•••••••• I•••left Oct 17, 2023, registered Jan 26, 2024 (101 days) · RIA to RIA
- V••••••• A•••••••• I••• to A••• I••••• A•••••••left Oct 1, 2021, registered Nov 10, 2021 (40 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- D••••• J•••• S••••••• left A••• I••••• A••••••• for T• R••• P•••• A••••••• S•••••••• I••• (registered 2024-01-26)Oct 17, 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