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•••••• D•••• L•••
- G••••••• W••••• A•••••••• L•• independent RIA currentsince May 6, 2020 · Raleiegh, Nc
- A•••• C•••••• A•••••••• L•• independent RIAFeb 8, 2019 to Jun 1, 2020 · Raleigh, Nc
- G••••• A•••• M••••••••• L•• formerDec 2, 2015 to Feb 7, 2019 · Raleigh, Nc
- G••••••• C•••••• A•••••••• L•• formerFeb 16, 2010 to Dec 2, 2015 · Raleigh, Nc
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 22, 2004 to Feb 16, 2010 · Raleigh, Nc
- P••••••••• unclassifiedJan 2, 2004 to Nov 1, 2004 · Raleigh, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Jan 13, 2004 · Raleigh, Nc
- A•••• C•••••• A•••••••• L•• to G••••••• W••••• A•••••••• L••left Jun 1, 2020, registered May 6, 2020 (-26 days) · RIA to a newly registered adviser
- G••••• A•••• M••••••••• L•• to A•••• C•••••• A•••••••• L••left Feb 7, 2019, registered Feb 8, 2019 (1 days) · RIA to RIA · moved with a team
- G••••••• C•••••• A•••••••• L•• to G••••• A•••• M••••••••• L••left Dec 2, 2015, registered Dec 2, 2015 (0 days) · Other · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to G••••••• C•••••• A•••••••• L••left Feb 16, 2010, registered Feb 16, 2010 (0 days) · Other
- P••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 1, 2004, registered Oct 22, 2004 (-10 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to P•••••••••left Jan 13, 2004, registered Jan 2, 2004 (-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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address