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.
W•••••• W••• A••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 31, 2013 · Raleigh, Nc
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Nov 6, 2013 · Raleigh, Nc
- M••••• K••••• • C••••••• L•• formerApr 6, 2010 to Feb 13, 2013 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedFeb 27, 2006 to Jul 6, 2009 · Raleigh, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 9, 2004 to Feb 23, 2006 · Raleigh, Nc
- D•••••••• • C•••••• L•• BD affiliatedOct 16, 2002 to Jun 3, 2004 · Raleigh, Nc
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Nov 6, 2013, registered Oct 31, 2013 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- F•••• C••••••• I••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Jul 6, 2009, registered Apr 6, 2010 (274 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Feb 23, 2006, registered Feb 27, 2006 (4 days) · Other
- D•••••••• • C•••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jun 3, 2004, registered Aug 9, 2004 (67 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address