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.
C••••••••• A•••••• M•••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 29, 2021 · Raleigh, Nc
- E••• F•••••••• A•••••••• L•• formerOct 16, 2019 to Jan 13, 2021 · Raleigh, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 12, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 7, 2012 to Jul 13, 2018 · Raleigh, Nc
- C••••••• P••••••• independent RIAApr 23, 2012 to Oct 19, 2012 · Raleigh, Nc
- S•••••••• A••••••• L•• national BDMar 12, 2001 to Mar 14, 2012 · Durham, Nc
- E••• F•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jan 13, 2021, registered Jul 29, 2021 (197 days) · RIA to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to E••• F•••••••• A•••••••• L••left Aug 12, 2019, registered Oct 16, 2019 (65 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C••••••• P••••••• to S•••••••• A••••••• L••left Oct 19, 2012, registered Nov 7, 2012 (19 days) · Other
- S•••••••• A••••••• L•• to C••••••• P•••••••left Mar 14, 2012, registered Apr 23, 2012 (40 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