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.
W•••••• M•••••••• P••••••
- E••••• J•••• national BD currentsince Feb 16, 2024 · Hilton Head Island, Sc
- O••••••••• • C•• I••• BD affiliatedMay 8, 2012 to Feb 16, 2024 · Asheville, Nc
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to May 7, 2012 · Asheville, Nc
- A• G• E•••••• • S•••• I••• unclassifiedApr 2, 2004 to Jan 1, 2008 · Asheville, Nc
- O••••••••• • C•• I••• to E••••• J••••left Feb 16, 2024, registered Feb 16, 2024 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left May 7, 2012, registered May 8, 2012 (1 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- William Macknight Pomeroy left Oppenheimer & Co. Inc. for Edward Jones (registered 2024-02-16)Feb 16, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address