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•••• F•••••• P•••
- L•• F•••••••• L•• BD affiliated currentsince Dec 19, 2012 · Southern Pines, Nc
- W•••• F•••• A••••••• wirehouseFeb 1, 2010 to Dec 21, 2012 · Lumberton, Nc
- B••• I••••••••• S•••••••• I••• formerNov 6, 2003 to Jan 29, 2010 · Clinton, Nc
- M••••• S•••••• D• I••• unclassifiedJul 1, 2003 to Nov 4, 2003 · Raleigh, Nc
- W•••• F•••• A••••••• to L•• F•••••••• L••left Dec 21, 2012, registered Dec 19, 2012 (-2 days) · Other
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jan 29, 2010, registered Feb 1, 2010 (3 days) · Other
- M••••• S•••••• D• I••• to B••• I••••••••• S•••••••• I•••left Nov 4, 2003, registered Nov 6, 2003 (2 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address