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.
D•••• H••••• G•••••
- F••••••• P•••••• L•••••• L•• independent RIA currentsince Jan 26, 2022 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedMay 18, 2010 to Jan 25, 2022 · Raleigh, Nc
- C•••••••• F•••••••• G•••• A••••••• formerNov 26, 2007 to Apr 27, 2010 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedMay 23, 2007 to Oct 17, 2007 · Raleigh, Nc
- O•••• F•• I••• formerFeb 28, 2005 to Oct 20, 2006 · Morrisville, Nc
- E•••••••• A•••••••• L•• national BDDec 31, 2001 to Apr 14, 2003 · Raleigh, Nc
- L•• F•••••••• L•• to F••••••• P•••••• L•••••• L••left Jan 25, 2022, registered Jan 26, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• F•••••••• G•••• A••••••• to L•• F•••••••• L••left Apr 27, 2010, registered May 18, 2010 (21 days) · Other
- L•• F•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Oct 17, 2007, registered Nov 26, 2007 (40 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Oct 20, 2006, registered May 23, 2007 (215 days) · Other
- E•••••••• A•••••••• L•• to O•••• F•• I•••left Apr 14, 2003, registered Feb 28, 2005 (686 days) · Other
- D•••• H••••• G••••• left L•• F•••••••• L•• for F••••••• P•••••• L•••••• L•• (registered 2022-01-26)Jan 25, 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address