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••• W•••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince May 23, 2023 · Apex, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 31, 2017 to May 8, 2023 · Raleigh, Nc
- P•• W••••• M••••••••• BD affiliatedJun 16, 2016 to May 31, 2017 · Zebulon, Nc
- S•••••••• A••••••• L•• national BDJun 4, 2012 to Mar 29, 2016 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedSep 1, 2011 to May 30, 2012 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseSep 23, 2008 to Sep 6, 2011 · Cary, Nc
- S••••••• I••••••••• S•••••••• I••• formerJul 30, 2004 to Sep 25, 2007 · Wilmington, Nc
- W•••• F•••• A••••••• wirehouseMar 2, 2001 to Jul 19, 2004 · Washington, Dc
- C••••• I••••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••left May 8, 2023, registered May 23, 2023 (15 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left May 31, 2017, registered May 31, 2017 (0 days) · Other
- S•••••••• A••••••• L•• to P•• W••••• M•••••••••left Mar 29, 2016, registered Jun 16, 2016 (79 days) · Other
- L•• F•••••••• L•• to S•••••••• A••••••• L••left May 30, 2012, registered Jun 4, 2012 (5 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 6, 2011, registered Sep 1, 2011 (-5 days) · Other
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 25, 2007, registered Sep 23, 2008 (364 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Jul 19, 2004, registered Jul 30, 2004 (11 days) · Other
- J••• W••••• left C••••• I••••••••• A••••••• L•• for F•••• T•••• S••••••••• I••• (registered 2023-05-23)May 8, 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
- 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