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.
J••• E•••••• W•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Wilmington, Nc
- C•••••••• F•••••••• G•••• A••••••• formerMay 16, 2014 to Mar 20, 2015 · Raleigh, Nc
- T•• A•••••••• I••• BD affiliatedSep 9, 2009 to Mar 26, 2014 · Hampstead, Nc
- C••••••• • C••• I••• formerMay 21, 2009 to Sep 9, 2009 · Wilmington, Nc
- T•• A•••••••• I••• BD affiliatedJun 6, 2007 to May 21, 2009 · Hampstead, Nc
- N•• A•••••• S•••••••• L•• formerOct 11, 2005 to Jun 5, 2007 · Charlotte, Nc
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Mar 20, 2015, registered Mar 21, 2024 (3289 days) · Other
- T•• A•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Mar 26, 2014, registered May 16, 2014 (51 days) · Other
- C••••••• • C••• I••• to T•• A•••••••• I•••left Sep 9, 2009, registered Sep 9, 2009 (0 days) · Other
- T•• A•••••••• I••• to C••••••• • C••• I•••left May 21, 2009, registered May 21, 2009 (0 days) · Other
- N•• A•••••• S•••••••• L•• to T•• A•••••••• I•••left Jun 5, 2007, registered Jun 6, 2007 (1 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address