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.
B•••• D•••• H•••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jan 2, 2024 · Charlotte, Nc
- S•••• W•••••• L•• independent RIANov 4, 2022 to Nov 10, 2023 · New York, Ny
- V••••••• A•••••••• I••• BD affiliatedAug 29, 2018 to Nov 8, 2022 · Charlotte, Nc
- S•••• W•••••• L•• to P••• A••••• S••••••••• L••left Nov 10, 2023, registered Jan 2, 2024 (53 days) · RIA to affiliated broker-dealer or bank
- V••••••• A•••••••• I••• to S•••• W•••••• L••left Nov 8, 2022, registered Nov 4, 2022 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- B•••• D•••• H••••••• left S•••• W•••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-01-02)Nov 10, 2023 · Advisor changed firm · fact
- B•••• D•••• H••••••• left V••••••• A•••••••• I••• for S•••• W•••••• L•• (registered 2022-11-04)Nov 8, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address