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.
M•••• W••• M•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 16, 2020 · Winston Salem, Nc
- L•• F•••••••• L•• BD affiliatedMar 5, 2018 to Mar 18, 2020 · Winston-Salem, Nc
- I•• A•••••••• L•• independent RIAAug 26, 2014 to Mar 18, 2020 · Atlanta, Ga
- S••••••••• A•••••• A•••••••• I••• formerDec 12, 2003 to Aug 19, 2014 · Winston-Salem, Nc
- V••••••• I••••••••• A•••••••• I••• unclassifiedDec 31, 2001 to Nov 25, 2003 · Winston Salem, Nc
- I•• A•••••••• L•• to L•• F•••••••• L••left Mar 18, 2020, registered Mar 5, 2018 (-744 days) · RIA to RIA
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 18, 2020, registered Mar 16, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to I•• A•••••••• L••left Aug 19, 2014, registered Aug 26, 2014 (7 days) · Other
- V••••••• I••••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 25, 2003, registered Dec 12, 2003 (17 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address