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.
- C•••••• L•• independent RIA currentsince Jul 12, 2024 · Rockford, Il
- H•••••• W••••• A•••••••• L•• independent RIAOct 12, 2023 to May 21, 2024 · Chapel Hill, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 16, 2022 to Feb 15, 2023 · Raleigh, Nc
- H•••••• W••••• A•••••••• L•• to C•••••• L••left May 21, 2024, registered Jul 12, 2024 (52 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• W••••• A•••••••• L••left Feb 15, 2023, registered Oct 12, 2023 (239 days) · Wirehouse to independent RIA
- K•••••••• G•••• B•••••• left H•••••• W••••• A•••••••• L•• for C•••••• L•• (registered 2024-07-12)May 21, 2024 · Advisor changed firm · fact
- K•••••••• G•••• B•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for H•••••• W••••• A•••••••• L•• (registered 2023-10-12)Feb 15, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address