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.
L••• S•••••• O••••
- M••••• S•••••• wirehouse currentsince Sep 20, 2022 · Chapel Hill, Nc
- R•••••• J•••• • A••••••••• I••• national BDJun 6, 2011 to Sep 22, 2022 · Chapel Hill, Nc
- K••• A•••••••• I••• independent RIAOct 7, 2008 to Nov 3, 2010 · Durham, Nc
- W••••••• F•••••••• A•••••••• L•• unclassifiedFeb 13, 2003 to Sep 2, 2008 · Chapel Hill, Nc
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Sep 22, 2022, registered Sep 20, 2022 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- K••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Nov 3, 2010, registered Jun 6, 2011 (215 days) · Other
- W••••••• F•••••••• A•••••••• L•• to K••• A•••••••• I•••left Sep 2, 2008, registered Oct 7, 2008 (35 days) · Other
- L••• S•••••• O•••• left R•••••• J•••• • A••••••••• I••• for M••••• S•••••• (registered 2022-09-20)Sep 22, 2022 · 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address