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.
A••••• T••••• E•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 9, 2017 · Highpoint, Nc
- L•• F•••••••• L•• BD affiliatedJun 4, 2014 to Nov 13, 2017 · High Point, Nc
- O•••• I••••••••• I••• BD affiliatedFeb 19, 2013 to May 12, 2014 · High Point, Nc
- L•• F•••••••• L•• BD affiliatedSep 26, 2011 to Feb 20, 2013 · Seagrove, Nc
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 13, 2017, registered Nov 9, 2017 (-4 days) · Other · moved with a team
- O•••• I••••••••• I••• to L•• F•••••••• L••left May 12, 2014, registered Jun 4, 2014 (23 days) · Other
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Feb 20, 2013, registered Feb 19, 2013 (-1 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