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.
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J••• T••••• H•••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Oct 18, 2023 · Raleigh, Nc
- O• I••••••••• M••••••••• C• BD affiliatedJan 14, 2004 to Oct 17, 2023 · Raleigh, Nc
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 22, 1999 to Dec 3, 2003 · Raleigh, Nc
- O• I••••••••• M••••••••• C• to P•••••••• S••••••••• I•••left Oct 17, 2023, registered Oct 18, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- V••• F•••••••• A•••••••• I••• to O• I••••••••• M••••••••• C•left Dec 3, 2003, registered Jan 14, 2004 (42 days) · Other
- J••• T••••• H••••• left O• I••••••••• M••••••••• C• for P•••••••• S••••••••• I••• (registered 2023-10-18)Oct 17, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address