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••••• B•••• K•••
- C••••••• institutional currentsince Apr 15, 2015 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedAug 19, 2009 to Jan 16, 2015 · Raleigh, Nc
- A••••••• A••••••• S••••••• formerFeb 22, 2007 to Sep 1, 2009 · Cary, Nc
- L•• F•••••••• L•• to C•••••••left Jan 16, 2015, registered Apr 15, 2015 (89 days) · Other
- A••••••• A••••••• S••••••• to L•• F•••••••• L••left Sep 1, 2009, registered Aug 19, 2009 (-13 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
- Institutional managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address