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.
J•••• E••••• N•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 6, 2024 · Cornelius, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 12, 2018 to May 22, 2024 · Mooresville, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 14, 2016 to Sep 27, 2017 · Hickory, Nc
- S••••••• I••••••••• S•••••••• I••• formerNov 29, 2013 to Dec 31, 2016 · Salisbury, Nc
- P•• W••••• M••••••••• BD affiliatedOct 3, 2012 to Dec 2, 2013 · Hickory, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJun 29, 2007 to Oct 1, 2012 · Raleigh, Nc
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left May 22, 2024, registered Aug 6, 2024 (76 days) · Affiliated broker-dealer or bank to another
- T••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 27, 2017, registered Jan 12, 2018 (107 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 14, 2016 (-108 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to S••••••• I••••••••• S•••••••• I•••left Dec 2, 2013, registered Nov 29, 2013 (-3 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to P•• W••••• M•••••••••left Oct 1, 2012, registered Oct 3, 2012 (2 days) · Other
- J•••• E••••• N••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-08-06)May 22, 2024 · Advisor changed firm · fact
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