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.
- C••••••• institutional currentsince Dec 1, 2022 · Wilmington, Nc
- H•••••••• A•••••••• L•• BD affiliatedOct 28, 2016 to Oct 28, 2022 · Wilmington, Nc
- I••••••• P•••••••• I••• formerJan 25, 2011 to Mar 21, 2017 · Wilmington, Nc
- L•• F•••••••• L•• BD affiliatedOct 2, 2008 to Dec 22, 2010 · Wilmington, Nc
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 13, 2006 to Oct 3, 2008 · Wilmington, Nc
- W•••• F•••• A••••••• wirehouseJan 17, 2003 to Sep 5, 2006 · Charlotte, Nc
- C••••• A•••••• N••••••• L•• formerDec 31, 2001 to Nov 11, 2002 · Charlotte, Nc
- H•••••••• A•••••••• L•• to C•••••••left Oct 28, 2022, registered Dec 1, 2022 (34 days) · Other · moved with a team
- I••••••• P•••••••• I••• to H•••••••• A•••••••• L••left Mar 21, 2017, registered Oct 28, 2016 (-144 days) · Other · moved with a team
- L•• F•••••••• L•• to I••••••• P•••••••• I•••left Dec 22, 2010, registered Jan 25, 2011 (34 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 3, 2008, registered Oct 2, 2008 (-1 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Sep 5, 2006, registered Oct 13, 2006 (38 days) · Other
- C••••• A•••••• N••••••• L•• to W•••• F•••• A•••••••left Nov 11, 2002, registered Jan 17, 2003 (67 days) · Other
- L•• M••••• M••••• left H•••••••• A•••••••• L•• for Captrust (registered 2022-12-01)Oct 28, 2022 · a•••••• firm change · 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
- Institutional managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address