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•••• L•• B••••••
- S•• W••••• independent RIA currentsince Jan 11, 2024 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jan 4, 2021 · Raleigh, Nc
- A••••• W••••• M••••••••• independent RIAOct 4, 2012 to Nov 9, 2020 · Lowell, Ar
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Aug 23, 2012 · Birmingham, Al
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 11, 2007 to Oct 11, 2011 · Palm Harbor, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedApr 28, 2004 to Aug 30, 2006 · Clearwater, Fl
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 8, 2004 to Apr 16, 2004 · St Petersburg Beach, Fl
- A••••• W••••• M••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Nov 9, 2020, registered Jan 4, 2021 (56 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to A••••• W••••• M•••••••••left Aug 23, 2012, registered Oct 4, 2012 (42 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Aug 30, 2006, registered Jan 11, 2007 (134 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Apr 16, 2004, registered Apr 28, 2004 (12 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address