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•••••• T••• B••••
- O••• T•••• F•••••••• M••••••••• C•• state registered currentsince Jun 28, 2017 · Greensboro, Nc
- I••••• F•••••••• C••••••••• formerJan 26, 2009 to Jun 27, 2017 · Asheville, Nc
- S•••••• I••••••••• G••••• L•• formerApr 11, 2006 to Mar 12, 2009 · Greensboro, Nc
- I••••••••• F•••••••• S•••••••• I••• independent RIAJan 9, 2004 to Apr 11, 2006 · Greensboro, Nc
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 29, 2004 · Greensboro, Nc
- P••••••••• E••••• G••••• L•• unclassifiedDec 31, 2001 to Jul 1, 2003 · Greensboro, Nc
- I••••• F•••••••• C••••••••• to O••• T•••• F•••••••• M••••••••• C••left Jun 27, 2017, registered Jun 28, 2017 (1 days) · Other
- S•••••• I••••••••• G••••• L•• to I••••• F•••••••• C•••••••••left Mar 12, 2009, registered Jan 26, 2009 (-45 days) · Other
- I••••••••• F•••••••• S•••••••• I••• to S•••••• I••••••••• G••••• L••left Apr 11, 2006, registered Apr 11, 2006 (0 days) · Other
- W•••• F•••• A••••••• to I••••••••• F•••••••• S•••••••• I•••left Jan 29, 2004, registered Jan 9, 2004 (-20 days) · Wirehouse to independent RIA
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address