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.
J•••• W•••••••• M••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Raleigh, Nc
- O•••• F•• I••• formerOct 31, 2022 to Jan 24, 2025 · Raleigh, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 22, 2016 to Nov 1, 2022 · Raleigh, Nc
- C•••••••• F•••••••• G•••• A••••••• formerMar 2, 2005 to Sep 20, 2016 · Raleigh, Nc
- E•••••••• A•••••••• L•• national BDDec 31, 2001 to Feb 28, 2005 · Raleigh, Nc
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to O•••• F•• I•••left Nov 1, 2022, registered Oct 31, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- C•••••••• F•••••••• G•••• A••••••• to M•• I•••••••• S•••••••• L••left Sep 20, 2016, registered Nov 22, 2016 (63 days) · Other
- E•••••••• A•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Feb 28, 2005, registered Mar 2, 2005 (2 days) · Other
- J•••• W•••••••• M•••• left M•• I•••••••• S•••••••• L•• for O•••• F•• I••• (registered 2022-10-31)Nov 1, 2022 · Advisor changed firm · 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
- 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