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••••• J•••• P••••
- F••••••• F•••••••• A•••••••• L•• independent RIA currentsince Jul 6, 2020 · Bermuda Run, Nc
- U•• F•••••••• S••••••• I••• wirehouseMar 25, 2011 to Jul 6, 2020 · Charleston, Sc
- W•••• F•••• A••••••• wirehouseAug 19, 2003 to Mar 29, 2011 · Raleigh, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 31, 2001 to Aug 29, 2003 · Raleigh, Nc
- U•• F•••••••• S••••••• I••• to F••••••• F•••••••• A•••••••• L••left Jul 6, 2020, registered Jul 6, 2020 (0 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Mar 29, 2011, registered Mar 25, 2011 (-4 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Aug 29, 2003, registered Aug 19, 2003 (-10 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address