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.
D••• W•••••• G••••
- M••••••••• P••••••• G••••• L•• state registered currentsince Apr 11, 2023 · Cary, Nc
- C•••••• A••••••• formerMay 18, 2010 to Jun 15, 2020 · Cary, Nc
- N••••••••• S••••••••• L•• no RAUMFeb 9, 2009 to Jun 2, 2009 · Raleigh, Nc
- O•••• F•• I••• formerSep 10, 2004 to Apr 11, 2007 · Morrisville, Nc
- E•••••••• A•••••••• L•• national BDDec 31, 2001 to Sep 2, 2004 · Raleigh, Nc
- C•••••• A••••••• to M••••••••• P••••••• G••••• L••left Jun 15, 2020, registered Apr 11, 2023 (1030 days) · RIA to a state-registered adviser
- N••••••••• S••••••••• L•• to C•••••• A•••••••left Jun 2, 2009, registered May 18, 2010 (350 days) · Other
- O•••• F•• I••• to N••••••••• S••••••••• L••left Apr 11, 2007, registered Feb 9, 2009 (670 days) · Other
- E•••••••• A•••••••• L•• to O•••• F•• I•••left Sep 2, 2004, registered Sep 10, 2004 (8 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address