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.
D•••• P•••• P••••••
- D••• D••••••• • C•• i••••••••• wealth currentsince Dec 1, 2022 · Winston Salem, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Dec 1, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerOct 10, 2017 to Feb 17, 2021 · Winston-Salem, Nc
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthFeb 11, 2016 to Mar 16, 2018 · Greensboro, Nc
- L•• F•••••••• L•• BD affiliatedFeb 4, 2010 to Feb 12, 2016 · Greensboro, Nc
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 10, 2009 · Winston Salem, Nc
- A• G• E•••••• • S•••• I••• unclassifiedAug 14, 2006 to Jan 1, 2008 · Winston-Salem, Nc
- M••••• S•••••• D• I••• unclassifiedJan 22, 2004 to Jan 5, 2006 · Nashville, Tn
- T••••• A••••••• S•••••••• I••• to D••• D••••••• • C••left Dec 1, 2022, registered Dec 1, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- I••••••••• A•••••• A•••••••• L•• to B••• S••••••••• L••left Mar 16, 2018, registered Oct 10, 2017 (-157 days) · Other
- L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Feb 12, 2016, registered Feb 11, 2016 (-1 days) · Other · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 10, 2009, registered Feb 4, 2010 (209 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
- M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••left Jan 5, 2006, registered Aug 14, 2006 (221 days) · Other
- D•••• P•••• P•••••• left T••••• A••••••• S•••••••• I••• for D••• D••••••• • C•• (registered 2022-12-01)Dec 1, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address