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.
K•••• L•••••• D••••••
- F••••••• F•••••••• A•••••••• L•• independent RIA currentsince Oct 7, 2024 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseMar 24, 2016 to Oct 23, 2024 · Durham, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 11, 2016 · Chapel Hill, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Chapel Hill, Nc
- M••••• S•••••• D• I••• unclassifiedSep 1, 2006 to Apr 2, 2007 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 28, 1999 to Sep 6, 2006 · Chapel Hill, Nc
- W•••• F•••• A••••••• to F••••••• F•••••••• A•••••••• L••left Oct 23, 2024, registered Oct 7, 2024 (-16 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 11, 2016, registered Mar 24, 2016 (-18 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Sep 6, 2006, registered Sep 1, 2006 (-5 days) · Other
- K•••• L•••••• D•••••• left W•••• F•••• A••••••• for F••••••• F•••••••• A•••••••• L•• (registered 2024-10-07)Oct 23, 2024 · Advisor changed firm · fact
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