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.
L••• J••• N•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 23, 2024 · Raleigh, Nc
- I•••••••• C•••••• A••••••• formerDec 8, 2010 to Oct 3, 2016 · Lynnfield, Ma
- I•••••••• C•••••• A••••••• formerMar 27, 2007 to Jan 2, 2009 · Gilford, Nh
- M••••• K••••• • C••••••• L•• formerMar 17, 2003 to Sep 30, 2004 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 2002 to Mar 3, 2003 · Wilson, Nc
- I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 3, 2016, registered Feb 23, 2024 (2699 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to I•••••••• C•••••• A•••••••left Sep 30, 2004, registered Mar 27, 2007 (908 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• K••••• • C••••••• L••left Mar 3, 2003, registered Mar 17, 2003 (14 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address