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••• C•••••• B••••
- D••••••••• I••••••••• S••••••• L•• state registered currentsince Jul 31, 2017 · Durham, Nc
- B••••••••• A•••• M••••••••• L•• independent RIAMay 16, 2017 to May 19, 2017 · Hillsborough, Nc
- C••••••••• F•••••••• N•••••• national BDJan 15, 2014 to Apr 26, 2017 · Durham, Nc
- S••••• F•••••••• G•••• I•• formerSep 22, 2009 to Feb 12, 2014 · Durham, Nc
- L•• F•••••••• L•• BD affiliatedAug 21, 2006 to Oct 5, 2009 · Durham, Nc
- B••••••••• A•••• M••••••••• L•• to D••••••••• I••••••••• S••••••• L••left May 19, 2017, registered Jul 31, 2017 (73 days) · Other
- C••••••••• F•••••••• N•••••• to B••••••••• A•••• M••••••••• L••left Apr 26, 2017, registered May 16, 2017 (20 days) · Other
- S••••• F•••••••• G•••• I•• to C••••••••• F•••••••• N••••••left Feb 12, 2014, registered Jan 15, 2014 (-28 days) · Other
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Oct 5, 2009, registered Sep 22, 2009 (-13 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