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.
R••••• C••••••• D••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Raleigh, Nc
- M•• F•••••••• S•••••••• I••• formerOct 27, 2009 to Mar 25, 2017 · Raleigh, Nc
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Jan 9, 2009 · Durham, Nc
- 1••• C•••••• M••••••••• C•••••• unclassifiedJun 15, 2007 to Aug 1, 2008 · Durham, Nc
- Q•••••• A•••• M••••••••• I••• formerJan 5, 2007 to May 11, 2007 · Research Triangle Park, Nc
- U•••••••• S••••••••• I••• unclassifiedOct 15, 2003 to Jun 16, 2006 · Cornelius, Nc
- P•••• S••••••••• L•• no RAUMDec 31, 2001 to Nov 10, 2003 · Raleigh, Nc
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N••••••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 9, 2009, registered Oct 27, 2009 (291 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to 1••• C•••••• M••••••••• C••••••left May 11, 2007, registered Jun 15, 2007 (35 days) · Other
- U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jun 16, 2006, registered Jan 5, 2007 (203 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to U•••••••• S••••••••• I•••left Nov 10, 2003, registered Oct 15, 2003 (-26 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address