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.
K•••• W••••• S••••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Aug 24, 2021 · Winston-Salem, Nc
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 18, 2019 to Aug 13, 2021 · Winston-Salem, Nc
- J••••• H•••••••• W••• L••••• L•• formerJul 12, 2012 to Oct 18, 2019 · Louisville, Ky
- R•• C•••••• M••••••• L•• national BDOct 5, 2006 to Jul 20, 2012 · Winston-Salem, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Oct 12, 2006 · Winston-Salem, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Feb 21, 2006 · Winston-Salem, Nc
- R••••• W• B•••• • C•• I••••••••• to M••••••• I••••••••• N•••••• I•••left Aug 13, 2021, registered Aug 24, 2021 (11 days) · RIA to affiliated broker-dealer or bank
- J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to J••••• H•••••••• W••• L••••• L••left Jul 20, 2012, registered Jul 12, 2012 (-8 days) · Other
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Oct 12, 2006, registered Oct 5, 2006 (-7 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address