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.
C••• J•••• J••••••••
- C••••••• P••••••• independent RIA currentsince Apr 21, 2021 · Overland Park, Ks
- S••• F•••••••• A••••••• formerJun 26, 2019 to Apr 13, 2021 · Raleigh, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 14, 2018 to Jun 19, 2019 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedApr 7, 2015 to Nov 13, 2017 · Raleigh, Nc
- C• A•••• M••••••••• L•• unclassifiedMay 20, 2013 to Mar 19, 2015 · Morrisville, Nc
- R•••• I••• no RAUMDec 10, 2012 to Mar 14, 2018 · Durham, Nc
- R•••• I••• no RAUMFeb 3, 2011 to Apr 11, 2012 · Durham, Nc
- R•••• I••• no RAUMJan 1, 2010 to Dec 31, 2010 · Durham, Nc
- W•••• F•••• A••••••• wirehouseDec 4, 2007 to Dec 31, 2009 · Raleigh, Nc
- B••• I••••••••• S•••••••• I••• formerMar 21, 2006 to Nov 23, 2007 · Charlotte, Nc
- B••• A•••• M••••••••• I••• unclassifiedJun 14, 2005 to Mar 21, 2006 · Smithfield, Nc
- A••••••••• A•••••• S•••••••• I••• unclassifiedFeb 20, 2004 to Jun 1, 2005 · Raleigh, Nc
- S••• F•••••••• A••••••• to C••••••• P•••••••left Apr 13, 2021, registered Apr 21, 2021 (8 days) · RIA to RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••• F•••••••• A•••••••left Jun 19, 2019, registered Jun 26, 2019 (7 days) · Affiliated broker-dealer or bank to independent RIA
- R•••• I••• to C• A•••• M••••••••• L••left Mar 14, 2018, registered May 20, 2013 (-1759 days) · Other
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 13, 2017, registered Mar 14, 2018 (121 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C• A•••• M••••••••• L•• to L•• F•••••••• L••left Mar 19, 2015, registered Apr 7, 2015 (19 days) · Other
- W•••• F•••• A••••••• to R•••• I•••left Dec 31, 2009, registered Jan 1, 2010 (1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 23, 2007, registered Dec 4, 2007 (11 days) · Other
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 21, 2006, registered Mar 21, 2006 (0 days) · Other
- A••••••••• A•••••• S•••••••• I••• to B••• A•••• M••••••••• I•••left Jun 1, 2005, registered Jun 14, 2005 (13 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address