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.
G•••••• C••• G•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 19, 2016 · Greensboro, Nc
- O••••••••• • C•• I••• BD affiliatedMar 24, 2009 to Sep 1, 2016 · Greensboro, Nc
- S••••••• G•••• C•••••• unclassifiedOct 24, 2008 to Mar 19, 2009 · Greensboro, Nc
- U•• F•••••••• S••••••• I••• wirehouseNov 8, 2002 to Oct 31, 2008 · Greensboro, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2002 to Nov 12, 2002 · Greensboro, Nc
- O••••••••• • C•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2016, registered Aug 19, 2016 (-13 days) · Other
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 19, 2009, registered Mar 24, 2009 (5 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••• G•••• C••••••left Oct 31, 2008, registered Oct 24, 2008 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 12, 2002, registered Nov 8, 2002 (-4 days) · Wirehouse to wirehouse
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address