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.
B•••• J•••••• A•••••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Aug 18, 2022 · Raleigh, Nc
- P•• W••••• M••••••••• BD affiliatedOct 31, 2019 to Jan 14, 2021 · Durham, Nc
- P•••• S••••••••• L•• no RAUMApr 30, 2019 to Oct 21, 2019 · Raleigh, Nc
- T• A••••••••• I••• formerSep 13, 2016 to Mar 15, 2019 · Cary, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 13, 2016 to Mar 15, 2019 · Cary, Nc
- C•••••• S••••• • C••• I••• national BDFeb 19, 2004 to Aug 12, 2016 · Raleigh, Nc
- M••••• S•••••• D• I••• unclassifiedFeb 18, 2002 to Feb 3, 2004 · Raleigh, Nc
- P•• W••••• M••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Jan 14, 2021, registered Aug 18, 2022 (581 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to P•• W••••• M•••••••••left Oct 21, 2019, registered Oct 31, 2019 (10 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 15, 2019, registered Sep 13, 2016 (-913 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 15, 2019, registered Sep 13, 2016 (-913 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 12, 2016, registered Sep 13, 2016 (32 days) · Other
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Feb 3, 2004, registered Feb 19, 2004 (16 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address