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.
K•••• D••• C•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 6, 2016 · Winston-Salem, Nc
- D••••••• B••• S••••••••• I••• no RAUMJun 17, 2008 to Sep 6, 2016 · Winston-Salem, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 16, 2008 · Winston-Salem, Nc
- M••••• S•••••• D• I••• unclassifiedJan 13, 2006 to Apr 2, 2007 · Winston-Salem, Nc
- U•• F•••••••• S••••••• I••• wirehouseDec 31, 2001 to Feb 6, 2006 · Winston - Salem, Nc
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to D••••••• B••• S••••••••• I•••left Jun 16, 2008, registered Jun 17, 2008 (1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Feb 6, 2006, registered Jan 13, 2006 (-24 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
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address