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.
M••• V••••• N•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Wilmington, Nc
- I•••••••• S••••••••• I••• unclassifiedAug 13, 2004 to Apr 1, 2009 · Wilmington, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJun 7, 2004 to Sep 5, 2013 · Louisburg, Nc
- C••••• A•••••• N••••••• L•• formerJul 2, 2003 to Jun 4, 2004 · Wilmington, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 22, 2002 to Nov 19, 2002 · Wilmington, Nc
- F•••• C••••••• I••••••• S•••••••• I••• to I•••••••• S••••••••• I•••left Sep 5, 2013, registered Aug 13, 2004 (-3310 days) · Other
- I•••••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 1, 2009, registered Mar 21, 2024 (5468 days) · Other
- C••••• A•••••• N••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Jun 4, 2004, registered Jun 7, 2004 (3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Nov 19, 2002, registered Jul 2, 2003 (225 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address