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.
R••••• A••••• B••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 6, 2013 · Morganton, Nc
- O• I••••••••• M••••••••• C• BD affiliatedFeb 3, 2010 to May 15, 2013 · Morganton, Nc
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 18, 2004 to Dec 8, 2009 · Morganton, Nc
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 28, 2002 to Mar 18, 2004 · Morganton, Nc
- O• I••••••••• M••••••••• C• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 15, 2013, registered Sep 6, 2013 (114 days) · Other
- V••• F•••••••• A•••••••• I••• to O• I••••••••• M••••••••• C•left Dec 8, 2009, registered Feb 3, 2010 (57 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Mar 18, 2004, registered Mar 18, 2004 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address