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.
M•••• H•••••• C••••••
- D••• D••••••• • C•• independent RIA currentsince Jul 21, 2022 · Wilmington, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 16, 2020 to Jul 19, 2022 · Raleigh, Nc
- B••• S••••••••• L•• formerSep 12, 2017 to Feb 17, 2021 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 20, 2015 to Aug 16, 2017 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedMar 13, 2014 to Dec 31, 2014 · Clayton, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 2013 to Mar 3, 2014 · Mount Pleasant, Sc
- T••••• A••••••• S•••••••• I••• to D••• D••••••• • C••left Jul 19, 2022, registered Jul 21, 2022 (2 days) · Affiliated broker-dealer or bank to independent RIA
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Nov 16, 2020 (-93 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••left Aug 16, 2017, registered Sep 12, 2017 (27 days) · Other
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2014, registered Jan 20, 2015 (20 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Mar 3, 2014, registered Mar 13, 2014 (10 days) · Other
- M•••• H•••••• C•••••• left T••••• A••••••• S•••••••• I••• for D••• D••••••• • C•• (registered 2022-07-21)Jul 19, 2022 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address