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.
N•••• S•••• G•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Dec 19, 2016 · Greensboro, Nc
- G•• A••••••• S•••••••• L•• asset managerOct 30, 2017 to Dec 31, 2017 · Greensboro, Nc
- W•••• F•••• A••••••• wirehouseJun 20, 2002 to Dec 31, 2005 · Greensboro, Nc
- W••••••• S••••••••• I••• unclassifiedMar 25, 2002 to Jun 20, 2002 · Greensboro, Nc
- G•• A••••••• S•••••••• L•• to no registered destinationleft Dec 31, 2017 · Departure, no registered destination
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 19, 2016 (4006 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 20, 2002 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address