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.
L••• D••• F•••••
- R•••• I••• no RAUM currentsince Dec 10, 2012 · Durham, Nc
- W•••• F•••• A••••••• wirehouseSep 29, 2023 to May 15, 2024 · Raleigh, Nc
- C• A•••• M••••••••• L•• unclassifiedMay 20, 2013 to Mar 19, 2015 · Morrisville, Nc
- R•••• I••• no RAUMJan 23, 2012 to Apr 11, 2012 · Chapel Hill, Nc
- C•• A•••••••• L•• unclassifiedMay 17, 2005 to Jan 23, 2012 · Raleigh, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to May 10, 2005 · Raleigh, Nc
- N•• F•••••••• S•••••••• I••• unclassifiedSep 30, 2002 to Jan 3, 2005 · Raleigh, Nc
- I••••• F•••••••• C••••••••• formerFeb 5, 2002 to Sep 30, 2002 · Raleigh, Nc
- W•••• F•••• A••••••• to no registered destinationleft May 15, 2024 · Departure, no registered destination
- C• A•••• M••••••••• L•• to W•••• F•••• A•••••••left Mar 19, 2015, registered Sep 29, 2023 (3116 days) · Other
- C•• A•••••••• L•• to R•••• I•••left Jan 23, 2012, registered Jan 23, 2012 (0 days) · Other
- S••••••• I••••••••• S•••••••• I••• to C•• A•••••••• L••left May 10, 2005, registered May 17, 2005 (7 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to N•• F•••••••• S•••••••• I•••left Sep 30, 2002, registered Sep 30, 2002 (0 days) · Other
- L••• D••• F••••• no longer registered at W•••• F•••• A•••••••; no later IA registration on IAPDMay 15, 2024 · Advisor departure · 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
- No RAUM reportedderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address