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••••••• I•••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 30, 2016 · Greensboro, Nc
- B••• I••••••••• S•••••••• I••• formerMay 19, 2014 to Oct 3, 2016 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to May 19, 2014 · High Point, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 5, 2009 to Jul 5, 2011 · High Point, Nc
- E••••• J•••• national BDJul 26, 2004 to Dec 3, 2008 · Randleman, Nc
- B••• I••••••••• S•••••••• I••• formerMay 15, 2002 to Jan 21, 2004 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 3, 2016, registered Nov 30, 2016 (58 days) · Other
- L•• F•••••••• L•• to B••• I••••••••• S•••••••• I•••left May 19, 2014, registered May 19, 2014 (0 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- E••••• J•••• to U•••• F•••••••• S••••••• G••••• I•••left Dec 3, 2008, registered Jan 5, 2009 (33 days) · Other
- B••• I••••••••• S•••••••• I••• to E••••• J••••left Jan 21, 2004, registered Jul 26, 2004 (187 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address