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.
D•••• R•••••• R•••
- M••••• A•••••••• L•• BD affiliated currentsince Oct 24, 2024 · Greensboro, Nc
- E••••• J•••• national BDSep 8, 2023 to Oct 3, 2024 · High Point, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 26, 2005 to May 27, 2005 · Durham, Nc
- M• H••••••• S••••••••• I••• BD affiliatedDec 31, 2001 to Jun 12, 2003 · Greensboro, Nc
- E••••• J•••• to M••••• A•••••••• L••left Oct 3, 2024, registered Oct 24, 2024 (21 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to E••••• J••••left May 27, 2005, registered Sep 8, 2023 (6678 days) · Other
- M• H••••••• S••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jun 12, 2003, registered May 26, 2005 (714 days) · Other
- D•••• R•••••• R••• left E••••• J•••• for M••••• A•••••••• L•• (registered 2024-10-24)Oct 3, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address