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.
H•••• L•••••• G•••••••
- A••••• F•••••••• A•••••••• L•• independent RIA currentsince Jun 11, 2024 · Charlotte, Nc
- A••• L•• state registeredJul 7, 2020 to Nov 18, 2024 · Statesboro, Ga
- C•• W•••••• L•• state registeredSep 25, 2019 to Dec 16, 2020 · Clear Lake, Mn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 7, 2016 to Oct 3, 2017 · Charlotte, Nc
- A••• L•• to A••••• F•••••••• A•••••••• L••left Nov 18, 2024, registered Jun 11, 2024 (-160 days) · Other
- C•• W•••••• L•• to A••• L••left Dec 16, 2020, registered Jul 7, 2020 (-162 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•• W•••••• L••left Oct 3, 2017, registered Sep 25, 2019 (722 days) · Wirehouse to a state-registered adviser
- H•••• L•••••• G••••••• left A••• L•• for A••••• F•••••••• A•••••••• L•• (registered 2024-06-11)Nov 18, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address