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.
G••• C•••• C•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 1, 2018 · Raleigh, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 7, 2016 to Aug 29, 2018 · Apex, Nc
- S••••••• I••••••••• S•••••••• I••• formerMay 6, 2013 to Dec 31, 2016 · Raleigh, Nc
- W••••••• C•••••• M••••••••• institutionalApr 28, 2011 to May 15, 2013 · Raleigh, Nc
- F••••• O••••• G•••• L•• unclassifiedDec 22, 2010 to Apr 8, 2011 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseOct 12, 2004 to Dec 10, 2010 · Raleigh, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 3, 2002 to Sep 14, 2004 · Raleigh, Nc
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 29, 2018, registered Oct 1, 2018 (33 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 7, 2016 (-115 days) · corporate re-registration, not a move
- W••••••• C•••••• M••••••••• to S••••••• I••••••••• S•••••••• I•••left May 15, 2013, registered May 6, 2013 (-9 days) · Other
- F••••• O••••• G•••• L•• to W••••••• C•••••• M•••••••••left Apr 8, 2011, registered Apr 28, 2011 (20 days) · Other
- W•••• F•••• A••••••• to F••••• O••••• G•••• L••left Dec 10, 2010, registered Dec 22, 2010 (12 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 14, 2004, registered Oct 12, 2004 (28 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address