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.
F•••• O• C•••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Aug 23, 2021 · Charlotte, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 17, 2019 to Jun 18, 2021 · Brentwood, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 31, 2017 to May 9, 2019 · Bristol, Tn
- V•••• F•••••••• A•••••••• I••• to V••••••• A•••••••• I•••left Jun 18, 2021, registered Aug 23, 2021 (66 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••left May 9, 2019, registered Jun 17, 2019 (39 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address