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.
D••••• G••••• S••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 14, 2014 · Wilmington, Nc
- O••••••• F•••••••• G••••• I••• independent RIAApr 8, 2013 to Aug 22, 2013 · Wilmington, Nc
- B••••••••• C•••••• M••••••••• L•• independent RIASep 29, 2009 to Apr 8, 2013 · Wilmington, Nc
- F•••••••• S••••••• A••••••• I•• independent RIAJul 31, 2008 to Jun 30, 2009 · Virginia Beach, Va
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedDec 31, 2001 to Aug 19, 2003 · Wilmington, Nc
- O••••••• F•••••••• G••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 22, 2013, registered Jan 14, 2014 (145 days) · Other
- B••••••••• C•••••• M••••••••• L•• to O••••••• F•••••••• G••••• I•••left Apr 8, 2013, registered Apr 8, 2013 (0 days) · Other
- F•••••••• S••••••• A••••••• I•• to B••••••••• C•••••• M••••••••• L••left Jun 30, 2009, registered Sep 29, 2009 (91 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to F•••••••• S••••••• A••••••• I••left Aug 19, 2003, registered Jul 31, 2008 (1808 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