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••••• T••••••• H••••
- H•••• • A••••••••• W••••• M••••••••• L•• independent RIA currentsince Dec 16, 2022 · Cary, Nc
- W••••••••• P•••••••• L•• independent RIAOct 14, 2020 to Jan 4, 2023 · Cary, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDDec 31, 2001 to Oct 16, 2020 · Southern Pines, Nc
- W••••••••• P•••••••• L•• to H•••• • A••••••••• W••••• M••••••••• L••left Jan 4, 2023, registered Dec 16, 2022 (-19 days) · RIA to a newly registered adviser · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W••••••••• P•••••••• L••left Oct 16, 2020, registered Oct 14, 2020 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• T••••••• H•••• left W••••••••• P•••••••• L•• for H•••• • A••••••••• W••••• M••••••••• L•• (registered 2022-12-16)Jan 4, 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address