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••••• J•••• S•••••••
- M••••• C•••••• A•••••••• L•• independent RIA currentsince Jan 21, 2022 · Raleigh, Nc
- M••••• C•••••• A•••••••• L•• independent RIANov 8, 2019 to Dec 31, 2021 · Raleigh, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 5, 2012 to Jul 9, 2019 · Raleigh, Nc
- P••• A••••• S••••••••• L•• BD affiliatedMay 6, 2010 to Nov 9, 2012 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedSep 2, 2005 to Apr 15, 2010 · Fletcher, Nc
- M•• I•••••••• S•••••••• L•• to M••••• C•••••• A•••••••• L••left Jul 9, 2019, registered Nov 8, 2019 (122 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Nov 9, 2012, registered Dec 5, 2012 (26 days) · Other
- P•••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Apr 15, 2010, registered May 6, 2010 (21 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address