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.
- C••••••• institutional currentsince Apr 22, 2015 · Raleigh, Nc
- C••••••• F•••••••• A••••••• formerOct 20, 2003 to Apr 22, 2015 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseOct 23, 2002 to Oct 17, 2003 · Raleigh, Nc
- C••••••• F•••••••• A•••••••• L•• unclassifiedDec 31, 2001 to Jun 27, 2002 · Raleigh, Nc
- C••••••• F•••••••• A••••••• to C•••••••left Apr 22, 2015, registered Apr 22, 2015 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C••••••• F•••••••• A•••••••left Oct 17, 2003, registered Oct 20, 2003 (3 days) · Other
- C••••••• F•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 27, 2002, registered Oct 23, 2002 (118 days) · corporate re-registration, not a move
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
- Institutional managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address