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••••• B••••• B••••••
- O•••• I••••••••• I••• BD affiliated currentsince Mar 4, 2014 · Rocky Mount, Nc
- B••• I••••••••• S•••••••• I••• formerJul 16, 2008 to Mar 3, 2014 · Roanoke Rapids, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Aug 16, 2007 · Winston-Salem, Nc
- M••••• S•••••• D• I••• unclassifiedFeb 25, 2005 to Apr 2, 2007 · Winston-Salem, Nc
- U•• F•••••••• S••••••• I••• wirehouseAug 28, 2002 to Mar 14, 2005 · Winston - Salem, Nc
- B••• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Mar 3, 2014, registered Mar 4, 2014 (1 days) · Other
- M••••• S•••••• • C•• L•• to B••• I••••••••• S•••••••• I•••left Aug 16, 2007, registered Jul 16, 2008 (335 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Mar 14, 2005, registered Feb 25, 2005 (-17 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