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.
R•••••• N••• Y•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 26, 2016 · Bermuda Run, Nc
- S•••••••• I••••••••• N•••• I••• state registeredAug 9, 2012 to Nov 18, 2014 · Charlotte, Nc
- O•••• F•• I••• formerApr 18, 2002 to Apr 20, 2011 · Charlotte, Nc
- S•••••••• I••••••••• N•••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 18, 2014, registered Feb 26, 2016 (465 days) · Other
- O•••• F•• I••• to S•••••••• I••••••••• N•••• I•••left Apr 20, 2011, registered Aug 9, 2012 (477 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address