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•••• L••• T••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Nov 12, 2014 · Winston-Salem, Nc
- U•• F•••••••• S••••••• I••• wirehouseAug 27, 2013 to Nov 20, 2014 · Winston-Salem, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 5, 2013 · Winston-Salem, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 21, 2008 to Jun 1, 2009 · Winston-Salem, Nc
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Nov 20, 2014, registered Nov 12, 2014 (-8 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 5, 2013, registered Aug 27, 2013 (-9 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address