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.
K•••• J•••• B•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 22, 2023 · Durham, Nc
- A•••••••• C•••••• M••••••••• independent RIASep 1, 2015 to Feb 19, 2021 · Cornelius, Nc
- N••••••••• S••••••••• L•• no RAUMSep 26, 2013 to Aug 25, 2015 · Mooresville, Nc
- V••••• C•••••• • M••••••••• independent RIAJan 26, 2012 to Aug 14, 2013 · Mooresville, Nc
- A•••••••• C•••••• M••••••••• independent RIAJun 1, 2011 to Nov 22, 2011 · Cornelius, Nc
- R•••• I••••••••• A••••••• L•• BD affiliatedFeb 2, 2011 to May 31, 2011 · Cornelius, Nc
- A••••••• P••••••••• A•••••••• I•• formerApr 28, 2010 to Feb 2, 2011 · Holbrook, Ny
- A•••••••• C•••••• M••••••••• to A••••• A•• P••••••• S•••••••left Feb 19, 2021, registered May 22, 2023 (822 days) · RIA to affiliated broker-dealer or bank
- N••••••••• S••••••••• L•• to A•••••••• C•••••• M•••••••••left Aug 25, 2015, registered Sep 1, 2015 (7 days) · Other
- V••••• C•••••• • M••••••••• to N••••••••• S••••••••• L••left Aug 14, 2013, registered Sep 26, 2013 (43 days) · Other
- A•••••••• C•••••• M••••••••• to V••••• C•••••• • M•••••••••left Nov 22, 2011, registered Jan 26, 2012 (65 days) · Other
- R•••• I••••••••• A••••••• L•• to A•••••••• C•••••• M•••••••••left May 31, 2011, registered Jun 1, 2011 (1 days) · Other
- A••••••• P••••••••• A•••••••• I•• to R•••• I••••••••• A••••••• L••left Feb 2, 2011, registered Feb 2, 2011 (0 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address