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•••••• P••• S••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jan 26, 2023 · Greensboro, Nc
- M••••• S•••••• wirehouseAug 15, 2013 to Feb 23, 2023 · Greensboro, Nc
- B••• S••••••••• L•• formerJan 2, 2013 to Aug 21, 2013 · Greensboro, Nc
- S•••• • S••••••••• L•• formerDec 31, 2001 to Jan 2, 2013 · Greensboro, Nc
- M••••• S•••••• to T••••• A••••••• S•••••••• I•••left Feb 23, 2023, registered Jan 26, 2023 (-28 days) · Wirehouse to affiliated broker-dealer or bank
- B••• S••••••••• L•• to M••••• S••••••left Aug 21, 2013, registered Aug 15, 2013 (-6 days) · Other
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- M•••••• P••• S•••• left M••••• S•••••• for T••••• A••••••• S•••••••• I••• (registered 2023-01-26)Feb 23, 2023 · 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
- 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