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.
S•••••• W•••• G••••••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Dec 15, 2020 · Wilmington, Nc
- S•••••• W••••• P•••••••• L•• BD affiliatedJun 21, 2016 to Dec 17, 2020 · Wilmington, Nc
- D•••• W••••• M••••••••• formerApr 28, 2015 to Jun 21, 2016 · Durham, Nc
- I••••••••• F•••••••• S•••••••• I••• i••••••••• wealthApr 7, 2015 to Apr 28, 2015 · Wilmington, Nc
- O•• N•••• S•••• W••••• M••••••••• L•• i••••••••• wealthNov 5, 2009 to Apr 6, 2015 · Wilmington, Nc
- O•• N•••• S•••• T••••• L•• formerMar 18, 2005 to Nov 5, 2009 · Siler City, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 31, 2001 to Feb 15, 2005 · Wilmington, Nc
- S•••••• W••••• P•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Dec 17, 2020, registered Dec 15, 2020 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- D•••• W••••• M••••••••• to S•••••• W••••• P•••••••• L••left Jun 21, 2016, registered Jun 21, 2016 (0 days) · Other
- I••••••••• F•••••••• S•••••••• I••• to D•••• W••••• M•••••••••left Apr 28, 2015, registered Apr 28, 2015 (0 days) · Other
- O•• N•••• S•••• W••••• M••••••••• L•• to I••••••••• F•••••••• S•••••••• I•••left Apr 6, 2015, registered Apr 7, 2015 (1 days) · Other
- O•• N•••• S•••• T••••• L•• to O•• N•••• S•••• W••••• M••••••••• L••left Nov 5, 2009, registered Nov 5, 2009 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to O•• N•••• S•••• T••••• L••left Feb 15, 2005, registered Mar 18, 2005 (31 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
- I••••••••• WEALTHderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address