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.
T•••••• D• H•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Sep 30, 2020 · Mebane, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedMay 18, 2017 to Aug 28, 2020 · Chapel Hill, Nc
- P•• W••••• M••••••••• BD affiliatedApr 22, 2015 to May 19, 2017 · Durham, Nc
- P•••••••• S••••••••• I••• BD affiliatedMay 1, 2012 to Dec 22, 2014 · Durham, Nc
- E••••• J•••• national BDAug 8, 2008 to Apr 11, 2012 · St Louis, Mo
- F•••• C••••••• I••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Aug 28, 2020, registered Sep 30, 2020 (33 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left May 19, 2017, registered May 18, 2017 (-1 days) · Other
- P•••••••• S••••••••• I••• to P•• W••••• M•••••••••left Dec 22, 2014, registered Apr 22, 2015 (121 days) · Other
- E••••• J•••• to P•••••••• S••••••••• I•••left Apr 11, 2012, registered May 1, 2012 (20 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address