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.
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D•••• L•• M••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Winston Salem, Nc
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2020 to Jun 14, 2024 · Winston Salem, Nc
- S•• A•••••••• I••• formerFeb 8, 2019 to Sep 18, 2020 · Winston Salem, Nc
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthMar 25, 2014 to Feb 19, 2019 · Winston-Salem, Nc
- L•• F•••••••• L•• BD affiliatedJan 14, 2013 to Dec 23, 2013 · High Point, Nc
- P•• W••••• M••••••••• BD affiliatedJun 18, 2012 to Jan 11, 2013 · Arden, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 18, 2011 to Jun 27, 2012 · Greensboro, Nc
- L•• F•••••••• L•• BD affiliatedMar 7, 2008 to Sep 27, 2011 · Winston Salem, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 30, 2005 to Mar 10, 2008 · Winston-Salem, Nc
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
- I••••••••• A•••••• A•••••••• L•• to S•• A•••••••• I•••left Feb 19, 2019, registered Feb 8, 2019 (-11 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••left Dec 23, 2013, registered Mar 25, 2014 (92 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jan 11, 2013, registered Jan 14, 2013 (3 days) · Other
- M•• I•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Jun 27, 2012, registered Jun 18, 2012 (-9 days) · Other
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 27, 2011, registered Oct 18, 2011 (21 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Mar 10, 2008, registered Mar 7, 2008 (-3 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address