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.
J•••••• L••• B•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · High Point, Nc
- S••••••••• A•••••• A•••••••• I••• formerDec 7, 2018 to Jun 14, 2024 · High Point, Nc
- Q•••••• A•••• M••••••••• I••• formerJul 13, 2006 to Dec 10, 2018 · High Point, Nc
- U•••••••• S••••••••• I••• unclassifiedJul 21, 2003 to Jul 24, 2006 · High Point, Nc
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 10, 2018, registered Dec 7, 2018 (-3 days) · Affiliated broker-dealer or bank to another
- U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jul 24, 2006, registered Jul 13, 2006 (-11 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