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.
- M••••• S•••••• wirehouse currentsince Feb 10, 2012 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseJun 23, 2011 to Feb 14, 2012 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJan 29, 2008 to Nov 23, 2010 · Raleigh, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Aug 13, 2007 · Durham, Nc
- M••••• S•••••• D• I••• unclassifiedJan 13, 2004 to Apr 2, 2007 · Durham, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDSep 18, 2002 to Nov 6, 2002 · Raleigh, Nc
- W•••• F•••• A••••••• to M••••• S••••••left Feb 14, 2012, registered Feb 10, 2012 (-4 days) · Wirehouse to wirehouse
- F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 23, 2010, registered Jun 23, 2011 (212 days) · Other
- M••••• S•••••• • C•• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Aug 13, 2007, registered Jan 29, 2008 (169 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
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• D• I•••left Nov 6, 2002, registered Jan 13, 2004 (433 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