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•••• D••••• M•••••••••
- M•••••• BD affiliated currentsince Jan 19, 2023 · Miramar Beach, Fl
- V•••• P••••••• L•• independent RIAJul 14, 2022 to Nov 15, 2022 · Charlotte, Nc
- V••••••• A•••••••• I••• BD affiliatedAug 25, 2017 to Jul 1, 2022 · Charlotte, Nc
- V•••• P••••••• L•• to M••••••left Nov 15, 2022, registered Jan 19, 2023 (65 days) · RIA to affiliated broker-dealer or bank
- V••••••• A•••••••• I••• to V•••• P••••••• L••left Jul 1, 2022, registered Jul 14, 2022 (13 days) · Affiliated broker-dealer or bank to independent RIA
- D•••• D••••• M••••••••• left V•••• P••••••• L•• for Mariner (registered 2023-01-19)Nov 15, 2022 · Advisor changed firm · fact
- D•••• D••••• M••••••••• left V••••••• A•••••••• I••• for V•••• P••••••• L•• (registered 2022-07-14)Jul 1, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address