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.
R••••• J•••• O••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 2, 2020 · Summerfield, Nc
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Dec 31, 2019 · Greensboro, Nc
- 1••• C•••••• M••••••••• C•••••• unclassifiedMar 24, 2008 to Aug 1, 2008 · Greensboro, Nc
- M•• F•••••••• S•••••••• I••• formerSep 8, 2004 to Nov 7, 2007 · Fredericksburg, Va
- P•••• S••••••••• L•• no RAUMNov 6, 2000 to Apr 20, 2004 · Glen Allen, Va
- N••••••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2019, registered Apr 2, 2020 (93 days) · Other · moved with a team
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to 1••• C•••••• M••••••••• C••••••left Nov 7, 2007, registered Mar 24, 2008 (138 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Apr 20, 2004, registered Sep 8, 2004 (141 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address