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.
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D•••• R•••••• H•••••••
- C••••••• institutional currentsince Dec 1, 2022 · Wilmington, Nc
- H•••••••• A•••••••• L•• BD affiliatedOct 28, 2016 to Oct 28, 2022 · 201, Nc
- I••••••• I••••••••• M••••••••• L•• formerJan 10, 2013 to Dec 31, 2015 · Wilmington, Nc
- I••••••• P•••••••• I••• formerDec 15, 2004 to Mar 21, 2017 · Wilmington, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDDec 31, 2001 to Nov 5, 2004 · Wilmington, Nc
- H•••••••• A•••••••• L•• to C•••••••left Oct 28, 2022, registered Dec 1, 2022 (34 days) · Other · moved with a team
- I••••••• P•••••••• I••• to I••••••• I••••••••• M••••••••• L••left Mar 21, 2017, registered Jan 10, 2013 (-1531 days) · Other
- I••••••• I••••••••• M••••••••• L•• to H•••••••• A•••••••• L••left Dec 31, 2015, registered Oct 28, 2016 (302 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••••• P•••••••• I•••left Nov 5, 2004, registered Dec 15, 2004 (40 days) · Other
- D•••• R•••••• H••••••• left H•••••••• A•••••••• L•• for Captrust (registered 2022-12-01)Oct 28, 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
- Institutional managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address