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.
A••• L• E•••
- W•••• F•••• A••••••• wirehouse currentsince May 6, 2022 · Raleigh, Nc
- F•••• independent RIAJan 13, 2022 to Jun 16, 2022 · Cary, Nc
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jun 30, 2020 · Raleigh, Nc
- P••••••••• E••••• G••••• L•• unclassifiedMar 11, 2003 to Jul 1, 2003 · Virginia Beach, Va
- F•••• to W•••• F•••• A•••••••left Jun 16, 2022, registered May 6, 2022 (-41 days) · RIA to wirehouse
- W•••• F•••• A••••••• to F••••left Jun 30, 2020, registered Jan 13, 2022 (562 days) · Wirehouse to independent RIA
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- A••• L• E••• left Facet for W•••• F•••• A••••••• (registered 2022-05-06)Jun 16, 2022 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address