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.
M••• B••• W••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Greenville, Sc
- S•••• • S••••••••• L•• formerFeb 19, 2010 to Jan 2, 2013 · Asheville, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 10, 2010 · New Haven, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 14, 1998 to Jun 1, 2009 · New Haven, Ct
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to S•••• • S••••••••• L••left Mar 10, 2010, registered Feb 19, 2010 (-19 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address