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.
R••••• V••••• D••••••
- W•••••••• A•••••••• L•• state registered currentsince Oct 28, 2021 · Matthews, Nc
- A•••••••• C•••••• M••••••••• independent RIAAug 13, 2018 to Aug 5, 2019 · Linville, Nc
- A••••••• A••••••• S••••••• formerJun 30, 2006 to Oct 27, 2014 · Hickory, Nc
- C••••••• I••••••••• I••• unclassifiedDec 31, 2001 to Jun 30, 2006 · Hickory, Nc
- A•••••••• C•••••• M••••••••• to W•••••••• A•••••••• L••left Aug 5, 2019, registered Oct 28, 2021 (815 days) · RIA to a state-registered adviser
- A••••••• A••••••• S••••••• to A•••••••• C•••••• M•••••••••left Oct 27, 2014, registered Aug 13, 2018 (1386 days) · Other
- C••••••• I••••••••• I••• to A••••••• A••••••• S•••••••left Jun 30, 2006, registered Jun 30, 2006 (0 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address