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.
T••• R•••• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 18, 2019 · Fort Mill, Sc
- L•••••• F•••••••• D••••••••• I••• unclassifiedJan 6, 2011 to Feb 24, 2011 · Raleigh, Nc
- S••••••• I••••••••• A•••••••• I••• otherOct 4, 2010 to Dec 14, 2010 · Charlotte, Nc
- P•••••••• S••••••••• I••• BD affiliatedDec 9, 2005 to Jul 30, 2010 · Raleigh, Nc
- L•••••• F•••••••• D••••••••• I••• to L•• F•••••••• L••left Feb 24, 2011, registered Jul 18, 2019 (3066 days) · Other
- S••••••• I••••••••• A•••••••• I••• to L•••••• F•••••••• D••••••••• I•••left Dec 14, 2010, registered Jan 6, 2011 (23 days) · Other
- P•••••••• S••••••••• I••• to S••••••• I••••••••• A•••••••• I•••left Jul 30, 2010, registered Oct 4, 2010 (66 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address