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.
T••••• R• T••••••
- C••••••• F•••••••• S•••••• C••••••••• former currentsince Sep 7, 2023 · Centennial, Co
- L•••••••• F•••••• A••••••• G••••• L•• independent RIASep 10, 2021 to Sep 7, 2023 · Wake Forest, Nc
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 10, 2012 to Sep 17, 2021 · Raleigh, Nc
- O•••• F•• I••• formerOct 19, 2005 to Feb 13, 2012 · Morrisville, Nc
- L•••••••• F•••••• A••••••• G••••• L•• to C••••••• F•••••••• S•••••• C•••••••••left Sep 7, 2023, registered Sep 7, 2023 (0 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•••••••• F•••••• A••••••• G••••• L••left Sep 17, 2021, registered Sep 10, 2021 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 13, 2012, registered Feb 10, 2012 (-3 days) · Other
- T••••• R• T•••••• left L•••••••• F•••••• A••••••• G••••• L•• for C••••••• F•••••••• S•••••• C••••••••• (registered 2023-09-07)Sep 7, 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
- Former SEC-registered adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address