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.
J•••• W•••••• G••••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 27, 2018 · Raleigh, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 18, 2016 to Apr 2, 2018 · Chapel Hill, Nc
- S••••••• I••••••••• S•••••••• I••• formerFeb 20, 2009 to Dec 31, 2016 · Cary, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 10, 2006 to Dec 11, 2008 · Seneca, Sc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedSep 9, 2004 to Aug 23, 2006 · Seneca, Sc
- B••• I••••••••• S•••••••• I••• formerApr 8, 2002 to Sep 2, 2004 · Charlotte, Nc
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 2, 2018, registered Apr 27, 2018 (25 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 18, 2016 (-135 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to S••••••• I••••••••• S•••••••• I•••left Dec 11, 2008, registered Feb 20, 2009 (71 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 23, 2006, registered Oct 10, 2006 (48 days) · Other
- B••• I••••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left Sep 2, 2004, registered Sep 9, 2004 (7 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address