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•••••• W••• W•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 2, 2022 · Winston-Salem, Nc
- M••••• S•••••• wirehouseOct 2, 2017 to Nov 14, 2022 · Winston-Salem, Nc
- B••• S••••••••• L•• formerMay 1, 2013 to Sep 14, 2017 · Winston-Salem, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to May 1, 2013 · Winston-Salem, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 10, 2004 to Jun 1, 2009 · Winston-Salem, Nc
- A• G• E•••••• • S•••• I••• unclassifiedAug 6, 2004 to Nov 16, 2004 · Greensboro, Nc
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 9, 2004 · Greensboro, Nc
- P••••••••• E••••• G••••• L•• unclassifiedDec 31, 2001 to Jul 1, 2003 · Greensboro, Nc
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Nov 14, 2022, registered Nov 2, 2022 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- B••• S••••••••• L•• to M••••• S••••••left Sep 14, 2017, registered Oct 2, 2017 (18 days) · Other
- M••••• S•••••• to B••• S••••••••• L••left May 1, 2013, registered May 1, 2013 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Nov 16, 2004, registered Nov 10, 2004 (-6 days) · Other
- W•••• F•••• A••••••• to A• G• E•••••• • S•••• I•••left Aug 9, 2004, registered Aug 6, 2004 (-3 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- M•••••• W••• W••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-11-02)Nov 14, 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address