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.
H•••• E••••• O•••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 26, 2019 · Raleigh, Nc
- O•••• F•• I••• formerSep 5, 2017 to May 1, 2019 · Raleigh, Nc
- P••••••• F•••••••• S•••••••• I••• BD affiliatedFeb 14, 2014 to Sep 5, 2017 · Dallas, Tx
- E•••••••• A•••••••• L•• national BDDec 31, 2001 to Feb 14, 2014 · Raleigh, Nc
- O•••• F•• I••• to L•• F•••••••• L••left May 1, 2019, registered Apr 26, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P••••••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Sep 5, 2017, registered Sep 5, 2017 (0 days) · Other
- E•••••••• A•••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Feb 14, 2014, registered Feb 14, 2014 (0 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address