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.
J••••• C•••••••• W•••••••
- C•••••• M••••••••• L•• independent RIA currentsince Jun 15, 2023 · Greensboro, Nc
- K••• P••••• L•• independent RIADec 9, 2021 to Jun 2, 2023 · Wake Forest, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jun 19, 2019 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 30, 2007 to Jan 2, 2009 · St Petersburg, Fl
- U•• F•••••••• S••••••• I••• wirehouseApr 1, 2003 to May 25, 2007 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 23, 1998 to Apr 3, 2003 · Sptbg., Sc
- K••• P••••• L•• to C•••••• M••••••••• L••left Jun 2, 2023, registered Jun 15, 2023 (13 days) · RIA to RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K••• P••••• L••left Jun 19, 2019, registered Dec 9, 2021 (904 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left May 25, 2007, registered May 30, 2007 (5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 3, 2003, registered Apr 1, 2003 (-2 days) · Wirehouse to wirehouse
- J••••• C•••••••• W••••••• left K••• P••••• L•• for C•••••• M••••••••• L•• (registered 2023-06-15)Jun 2, 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address