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•••• Z••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Nov 4, 2024 · Belmont, Nc
- C•••••• L•• independent RIAFeb 13, 2023 to Jul 22, 2024 · Rockford, Il
- G••••••••• W••••• L•• formerJul 1, 2021 to Feb 9, 2023 · Charlotte, Nc
- C•••••• L•• to T••••••• I••••••••• M••••••••• I•••left Jul 22, 2024, registered Nov 4, 2024 (105 days) · RIA to affiliated broker-dealer or bank
- G••••••••• W••••• L•• to C•••••• L••left Feb 9, 2023, registered Feb 13, 2023 (4 days) · RIA to RIA · moved with a team
- R•••• Z•••••• left C•••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2024-11-04)Jul 22, 2024 · Advisor changed firm · fact
- R•••• Z•••••• left G••••••••• W••••• L•• for C•••••• L•• (registered 2023-02-13)Feb 9, 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
- 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