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.
J••• W••••• Y••••
- C••••••• W••••• P•••••••• L•• state registered currentsince Aug 3, 2023 · Chapel Hill, Nc
- R•• O•• C•••••• M••••••••• I••• formerNov 1, 2019 to Aug 1, 2023 · Oak Brook, Il
- H••••• R•••• formerApr 30, 2015 to Nov 1, 2019 · Chapel Hill, Nc
- R•••••• J•••• • A••••••••• I••• national BDJan 23, 2012 to Apr 30, 2015 · Chapel Hill, Nc
- F•••• A••••• S••••••••• I••• formerAug 31, 2010 to Jan 27, 2012 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 14, 2010 · Durham, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Durham, Nc
- M••••• S•••••• D• I••• unclassifiedOct 1, 2003 to Apr 2, 2007 · Durham, Nc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 31, 2001 to Oct 6, 2003 · Raleigh, Nc
- R•• O•• C•••••• M••••••••• I••• to C••••••• W••••• P•••••••• L••left Aug 1, 2023, registered Aug 3, 2023 (2 days) · RIA to a state-registered adviser
- H••••• R•••• to R•• O•• C•••••• M••••••••• I•••left Nov 1, 2019, registered Nov 1, 2019 (0 days) · RIA to RIA
- R•••••• J•••• • A••••••••• I••• to H••••• R••••left Apr 30, 2015, registered Apr 30, 2015 (0 days) · Other
- F•••• A••••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 27, 2012, registered Jan 23, 2012 (-4 days) · Other
- M••••• S•••••• to F•••• A••••• S••••••••• I•••left Sep 14, 2010, registered Aug 31, 2010 (-14 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to M••••• S•••••• D• I•••left Oct 6, 2003, registered Oct 1, 2003 (-5 days) · Other
- J••• W••••• Y•••• left R•• O•• C•••••• M••••••••• I••• for C••••••• W••••• P•••••••• L•• (registered 2023-08-03)Aug 1, 2023 · Advisor changed firm · fact
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