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.
L••••• W••••• K•••••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Mar 16, 2015 · Palm Beach Gardens, Fl
- O•••• F•• I••• formerFeb 25, 2014 to Mar 16, 2015 · Raleigh, Nc
- M•••• C••••••• A••••••• S•••••• BD affiliatedAug 30, 2012 to Feb 24, 2014 · Palm Beach Gardens, Fl
- C••••• A•••••• N••••••• L•• formerJan 10, 2008 to Aug 31, 2012 · Cary, Nc
- M•••• C••••••• A••••••• S•••••• BD affiliatedJun 3, 2005 to Nov 19, 2007 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedSep 15, 2004 to Jun 20, 2005 · Raleigh, Nc
- A• G• E•••••• • S•••• I••• unclassifiedJun 2, 2004 to Aug 24, 2004 · Raleigh, Nc
- O•••• F•• I••• to M•••• C••••••• A••••••• S••••••left Mar 16, 2015, registered Mar 16, 2015 (0 days) · Other
- M•••• C••••••• A••••••• S•••••• to O•••• F•• I•••left Feb 24, 2014, registered Feb 25, 2014 (1 days) · Other
- C••••• A•••••• N••••••• L•• to M•••• C••••••• A••••••• S••••••left Aug 31, 2012, registered Aug 30, 2012 (-1 days) · Other
- M•••• C••••••• A••••••• S•••••• to C••••• A•••••• N••••••• L••left Nov 19, 2007, registered Jan 10, 2008 (52 days) · Other
- P•••••••• S••••••••• I••• to M•••• C••••••• A••••••• S••••••left Jun 20, 2005, registered Jun 3, 2005 (-17 days) · Other
- A• G• E•••••• • S•••• I••• to P•••••••• S••••••••• I•••left Aug 24, 2004, registered Sep 15, 2004 (22 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address