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•• W•••••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 28, 2022 · Cary, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 5, 2021 to Sep 28, 2021 · Raleigh, Nc
- J••• M••••• S••••••••• L•• wirehouseNov 25, 2020 to Jan 22, 2021 · Durham, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedAug 2, 2018 to May 4, 2020 · Raleigh, Nc
- A•••••••• F•••• M••••••••• L•• asset managerJan 1, 2005 to Oct 12, 2017 · Menomonee Falls, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedDec 20, 2000 to Jan 1, 2005 · Menomonee Falls, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Sep 28, 2021, registered Feb 28, 2022 (153 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 22, 2021, registered Feb 5, 2021 (14 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• C••••••• I••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left May 4, 2020, registered Nov 25, 2020 (205 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••••• F•••• M••••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Oct 12, 2017, registered Aug 2, 2018 (294 days) · Other
- S••••• C•••••• M••••••••• I•• to A•••••••• F•••• M••••••••• L••left Jan 1, 2005, registered Jan 1, 2005 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address