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••••• M•••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 26, 2016 · Danville, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 28, 2010 · Raleigh, Nc
- P••••••••• E••••• G••••• L•• unclassifiedApr 14, 2003 to Jul 1, 2003 · Raleigh, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 31, 2001 to Apr 25, 2003 · Raleigh, Nc
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 28, 2010, registered Sep 26, 2016 (2190 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to P••••••••• E••••• G••••• L••left Apr 25, 2003, registered Apr 14, 2003 (-11 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address