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.
T••••• Z••••• W••••
- N•••••• A••••••• BD affiliated currentsince Nov 30, 2023 · Southern Pines, Nc
- M•••••••• A••••••• P•••••••• L•• formerOct 9, 2015 to Oct 30, 2023 · Southern Pines, Nc
- W•••• F•••• A••••••• wirehouseDec 31, 2001 to Oct 15, 2015 · Pinehurst, Nc
- M•••••••• A••••••• P•••••••• L•• to N•••••• A•••••••left Oct 30, 2023, registered Nov 30, 2023 (31 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M•••••••• A••••••• P•••••••• L••left Oct 15, 2015, registered Oct 9, 2015 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- T••••• Z••••• W•••• left M•••••••• A••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-11-30)Oct 30, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address