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••• D••••• S•••••••
- A••• C•••••• S••••••••• L•• state registered currentsince Nov 30, 2023 · Angier, Nc
- J• W• C••• A•••••••• I••• BD affiliatedApr 16, 2019 to Nov 29, 2023 · Lafayette, Co
- G••••• F•••••••• P•••••• C••••••• I••• formerApr 22, 2016 to Apr 23, 2019 · Raleigh, Nc
- B••••••••• A•••• M••••••••• L•• asset managerFeb 5, 2015 to May 13, 2016 · Raleigh, Nc
- B••••••••• W••••• A•••••••• L•• no RAUMFeb 25, 2014 to May 13, 2016 · Raleigh, Nc
- H••••• I••••••••• M••••••••• L•• independent RIAJul 10, 2013 to Feb 28, 2014 · Raleigh, Nc
- J• W• C••• A•••••••• I••• to A••• C•••••• S••••••••• L••left Nov 29, 2023, registered Nov 30, 2023 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- G••••• F•••••••• P•••••• C••••••• I••• to J• W• C••• A•••••••• I•••left Apr 23, 2019, registered Apr 16, 2019 (-7 days) · corporate re-registration, not a move
- B••••••••• W••••• A•••••••• L•• to B••••••••• A•••• M••••••••• L••left May 13, 2016, registered Feb 5, 2015 (-463 days) · Other
- B••••••••• A•••• M••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left May 13, 2016, registered Apr 22, 2016 (-21 days) · Other
- H••••• I••••••••• M••••••••• L•• to B••••••••• W••••• A•••••••• L••left Feb 28, 2014, registered Feb 25, 2014 (-3 days) · Other
- P••• D••••• S••••••• left J• W• C••• A•••••••• I••• for A••• C•••••• S••••••••• L•• (registered 2023-11-30)Nov 29, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address