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••• M•••••• A••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 16, 2019 · Cary, Nc
- W•••• F•••• A••••••• wirehouseMay 6, 2009 to Aug 20, 2019 · Raleigh, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 29, 2005 to May 27, 2009 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2002 to May 2, 2005 · Cary, Nc
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 20, 2019, registered Aug 16, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 27, 2009, registered May 6, 2009 (-21 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 2, 2005, registered Apr 29, 2005 (-3 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address