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.
R•••• J••••• A•••••
- F••••••• F•••••••• A•••••••• L•• independent RIA currentsince Mar 31, 2017 · Cary, Nc
- W••••••••• P••••••• formerJul 2, 2015 to Mar 28, 2017 · Cary, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jan 31, 2014 · Raleigh, Nc
- A••••••••• A•••••• S•••••••• I••• unclassifiedFeb 5, 2009 to Oct 5, 2009 · Raleigh, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 2, 2005 to Feb 5, 2009 · Raleigh, Nc
- M••••• S•••••• D• I••• unclassifiedDec 31, 2001 to Feb 2, 2005 · Raleigh, Nc
- W••••••••• P••••••• to F••••••• F•••••••• A•••••••• L••left Mar 28, 2017, registered Mar 31, 2017 (3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••••••••• P•••••••left Jan 31, 2014, registered Jul 2, 2015 (517 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••left Feb 5, 2009, registered Feb 5, 2009 (0 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Feb 2, 2005, registered Feb 2, 2005 (0 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