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.
K•••••••• M•••••• B••••••
- E••••• J•••• national BD currentsince Aug 22, 2024 · Rocky Mount, Nc
- O•••• I••••••••• I••• BD affiliatedOct 24, 2014 to Apr 11, 2016 · Rocky Mount, Nc
- B••• I••••••••• S•••••••• I••• formerMar 21, 2006 to Sep 17, 2014 · Rocky Mount, Nc
- B••• A•••• M••••••••• I••• unclassifiedApr 4, 2005 to Mar 21, 2006 · Raleigh, Nc
- O•••• I••••••••• I••• to E••••• J••••left Apr 11, 2016, registered Aug 22, 2024 (3055 days) · Other
- B••• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Sep 17, 2014, registered Oct 24, 2014 (37 days) · Other
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 21, 2006, registered Mar 21, 2006 (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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address