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.
- F••••• I••••••••• independent RIA currentsince Jul 8, 2021 · Plano, Tx
- H•••••••• A•••••••• L•• BD affiliatedFeb 1, 2019 to Apr 5, 2021 · Wilmington, Nc
- O•• N•••• S•••• T••••• L•• formerMar 19, 2009 to Aug 14, 2017 · Siler City, Nc
- B••• A•••• M••••••••• I••• unclassifiedJan 7, 2008 to Feb 5, 2009 · Wilmington, Nc
- O•• N•••• S•••• T••••• L•• formerApr 18, 2006 to Dec 3, 2008 · Greensboro, Nc
- H•••••••• A•••••••• L•• to F••••• I•••••••••left Apr 5, 2021, registered Jul 8, 2021 (94 days) · Affiliated broker-dealer or bank to independent RIA
- O•• N•••• S•••• T••••• L•• to H•••••••• A•••••••• L••left Aug 14, 2017, registered Feb 1, 2019 (536 days) · Other
- B••• A•••• M••••••••• I••• to O•• N•••• S•••• T••••• L••left Feb 5, 2009, registered Mar 19, 2009 (42 days) · Other
- O•• N•••• S•••• T••••• L•• to B••• A•••• M••••••••• I•••left Dec 3, 2008, registered Jan 7, 2008 (-331 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address