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.
C•••••••• A•• B•••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Cary, Nc
- C••• F•••••••• S•••••••• L••• formerSep 7, 2016 to May 15, 2025 · Durham, Nc
- P•• W••••• M••••••••• BD affiliatedMay 28, 2013 to Sep 6, 2016 · Durham, Nc
- S••••••• I••••••••• S•••••••• I••• formerSep 29, 2009 to Oct 26, 2012 · Chapel Hill, Nc
- P•••••••• S••••••••• I••• BD affiliatedSep 14, 2009 to Sep 30, 2009 · Raleigh, Nc
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to C••• F•••••••• S•••••••• L•••left Sep 6, 2016, registered Sep 7, 2016 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Oct 26, 2012, registered May 28, 2013 (214 days) · Other
- P•••••••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Sep 30, 2009, registered Sep 29, 2009 (-1 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address