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•• L•••• B••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 24, 2012 · Winston Salem, Nc
- S•••• • S••••••••• L•• formerSep 2, 2008 to Jun 12, 2012 · Winston-Salem, Nc
- B••• I••••••••• S•••••••• I••• formerOct 11, 2007 to Aug 29, 2008 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 1998 to Aug 7, 2007 · Winston-Salem, Nc
- S•••• • S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 12, 2012, registered Sep 24, 2012 (104 days) · Other
- B••• I••••••••• S•••••••• I••• to S•••• • S••••••••• L••left Aug 29, 2008, registered Sep 2, 2008 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Aug 7, 2007, registered Oct 11, 2007 (65 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address