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.
C•••••• W•••••• K•••
- P•••• I••••••••• S•••••••• L•• state registered currentsince Sep 10, 2015 · Greensboro, Nc
- D•••• F•••••• E••••••••• D•••• P•••• P•••••••• M••••••••• unclassifiedMay 17, 2013 to Aug 28, 2015 · Charlotte, Nc
- S•••• • S••••••••• L•• formerOct 22, 2010 to Jan 24, 2013 · Richmond, Va
- U•• F•••••••• S••••••• I••• wirehouseDec 31, 2001 to Oct 20, 2010 · High Point, Nc
- D•••• F•••••• E••••••••• D•••• P•••• P•••••••• M••••••••• to P•••• I••••••••• S•••••••• L••left Aug 28, 2015, registered Sep 10, 2015 (13 days) · Other
- S•••• • S••••••••• L•• to D•••• F•••••• E••••••••• D•••• P•••• P•••••••• M•••••••••left Jan 24, 2013, registered May 17, 2013 (113 days) · Other
- U•• F•••••••• S••••••• I••• to S•••• • S••••••••• L••left Oct 20, 2010, registered Oct 22, 2010 (2 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address