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.
T••• R•••••• W•••••
- S•••••••• B••••••••• L•• independent RIA currentsince Aug 11, 2017 · Greensboro, Nc
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Dec 24, 2015 · Greensboro, Nc
- F•••• A••••• S••••••••• I••• formerFeb 2, 2010 to Jul 2, 2012 · Greensboro, Nc
- L•• F•••••••• L•• BD affiliatedJun 8, 2004 to Feb 16, 2010 · Greensboro, Nc
- W• G••••••• S••••••••• I••• unclassifiedDec 31, 2001 to Jun 15, 2004 · Greensboro, Nc
- F•••• A••••• A••••••• S•••••••• I••• to S•••••••• B••••••••• L••left Dec 24, 2015, registered Aug 11, 2017 (596 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F•••• A••••• S••••••••• I•••left Feb 16, 2010, registered Feb 2, 2010 (-14 days) · Other
- W• G••••••• S••••••••• I••• to L•• F•••••••• L••left Jun 15, 2004, registered Jun 8, 2004 (-7 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