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.
T••••• G••••••• B••••••••
- C••••• U•••• I••••••••• S••••••• state registered currentsince Jul 12, 2022 · Matthews, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 14, 2020 to Jun 13, 2022 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• U•••• I••••••••• S•••••••left Jun 13, 2022, registered Jul 12, 2022 (29 days) · Wirehouse to a state-registered adviser
- T••••• G••••••• B•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••• U•••• I••••••••• S••••••• (registered 2022-07-12)Jun 13, 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address