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••••••••• C•••••• independent RIA currentsince Oct 16, 2023 · Las Vegas, Nv
- P••• A••••• S••••••••• L•• BD affiliatedFeb 24, 2023 to Aug 31, 2023 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDOct 5, 2020 to Feb 17, 2023 · Fort Mill, Sc
- P••• A••••• S••••••••• L•• to F••••••••• C••••••left Aug 31, 2023, registered Oct 16, 2023 (46 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Feb 17, 2023, registered Feb 24, 2023 (7 days) · Affiliated broker-dealer or bank to another
- I••• H•••••••• left P••• A••••• S••••••••• L•• for F••••••••• C•••••• (registered 2023-10-16)Aug 31, 2023 · Advisor changed firm · fact
- I••• H•••••••• left E•••••••• A•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2023-02-24)Feb 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address