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.
W•••••• A•••••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 5, 2019 · Hilton Head Island, Sc
- K••••• A•••••••• I••• BD affiliatedJan 6, 2012 to Mar 29, 2019 · Ft. Lauderdale, Fl
- N••• F•••••••• G••••• I••• formerDec 18, 2008 to Dec 31, 2011 · Charlotte, Nc
- F•• S••••••••• C••••••••• formerJan 18, 2001 to Dec 18, 2008 · Charlotte, Nc
- K••••• A•••••••• I••• to L•• F•••••••• L••left Mar 29, 2019, registered Apr 5, 2019 (7 days) · Affiliated broker-dealer or bank to independent RIA
- N••• F•••••••• G••••• I••• to K••••• A•••••••• I•••left Dec 31, 2011, registered Jan 6, 2012 (6 days) · Other
- F•• S••••••••• C••••••••• to N••• F•••••••• G••••• I•••left Dec 18, 2008, registered Dec 18, 2008 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address