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.
R•••••• S•••• W•••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Williamston, Nc
- B••• S••••••••• L•• formerNov 29, 2017 to Feb 17, 2021 · Williamston, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 30, 2017 · Greenville, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 30, 2003 to Oct 23, 2009 · Greenville, Nc
- W•••• F•••• A••••••• wirehouseOct 28, 2002 to Oct 31, 2003 · Williamston, Nc
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••left Nov 30, 2017, registered Nov 29, 2017 (-1 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 31, 2003, registered Oct 30, 2003 (-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