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.
P•••••• K•••• R••••
- O•••••• P••••••• L•• state registered currentsince Aug 4, 2016 · Concord, Nc
- L•• F•••••••• L•• BD affiliatedMar 25, 2013 to Aug 2, 2016 · Concord, Nc
- C•••••• W••••• A••••••• G•••• independent RIAMay 16, 2012 to Mar 28, 2013 · Concord, Nc
- L•• F•••••••• L•• BD affiliatedAug 7, 2009 to May 29, 2012 · Mooresville, Nc
- C•••• C•••••• S••••••••• L••• formerOct 1, 2007 to Aug 24, 2009 · Concord, Nc
- Q•••• C•••••• S••••••••• I••• formerJan 3, 2007 to Oct 9, 2007 · Laguna Hills, Ca
- L•• F•••••••• L•• to O•••••• P••••••• L••left Aug 2, 2016, registered Aug 4, 2016 (2 days) · Other
- C•••••• W••••• A••••••• G•••• to L•• F•••••••• L••left Mar 28, 2013, registered Mar 25, 2013 (-3 days) · Other
- L•• F•••••••• L•• to C•••••• W••••• A••••••• G••••left May 29, 2012, registered May 16, 2012 (-13 days) · Other
- C•••• C•••••• S••••••••• L••• to L•• F•••••••• L••left Aug 24, 2009, registered Aug 7, 2009 (-17 days) · Other
- Q•••• C•••••• S••••••••• I••• to C•••• C•••••• S••••••••• L•••left Oct 9, 2007, registered Oct 1, 2007 (-8 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address