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•• M•••••• R••••••
- F••••••• F•••••••• A•••••••• L•• independent RIA currentsince Mar 3, 2016 · Greenville, Nc
- I••••• F•••••••• C••••••••• formerAug 14, 2009 to Mar 2, 2016 · Greenville, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 14, 2006 to Aug 17, 2009 · Rocky Mount, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 1, 2005 to Jul 14, 2006 · Chapel Hill, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Jul 27, 2005 · Durham, Nc
- N•• F•••••••• S•••••••• I••• unclassifiedSep 30, 2002 to Jan 3, 2005 · Durham, Nc
- I••••• F•••••••• C••••••••• formerOct 11, 2001 to Sep 30, 2002 · Durham, Nc
- I••••• F•••••••• C••••••••• to F••••••• F•••••••• A•••••••• L••left Mar 2, 2016, registered Mar 3, 2016 (1 days) · Other · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to I••••• F•••••••• C•••••••••left Aug 17, 2009, registered Aug 14, 2009 (-3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Jul 14, 2006, registered Jul 14, 2006 (0 days) · Other
- S••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 27, 2005, registered Jul 1, 2005 (-26 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to N•• F•••••••• S•••••••• I•••left Sep 30, 2002, registered Sep 30, 2002 (0 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address