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••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 1, 2017 · Raleigh, Nc
- O•••• W•••••• I••• BD affiliatedMay 9, 2013 to Nov 3, 2017 · Greensboro, Nc
- T•••• F•••••••• A•••••••• I••• formerJul 18, 2007 to May 9, 2013 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedJan 18, 2002 to Jul 17, 2007 · Raliegh, Nc
- O•••• W•••••• I••• to C••••••••• F•••••••• N••••••left Nov 3, 2017, registered Nov 1, 2017 (-2 days) · Affiliated broker-dealer or bank to another
- T•••• F•••••••• A•••••••• I••• to O•••• W•••••• I•••left May 9, 2013, registered May 9, 2013 (0 days) · Other
- P•••••••• S••••••••• I••• to T•••• F•••••••• A•••••••• I•••left Jul 17, 2007, registered Jul 18, 2007 (1 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address