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.
R•••• S••••••• G•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 5, 2023 · Winston Salem, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jun 5, 2023 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Winston-Salem, Nc
- S•••• • S••••••••• L•• formerDec 21, 2012 to Jan 2, 2013 · Winston-Salem, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedApr 3, 2008 to Dec 21, 2012 · Winston-Salem, Nc
- B••• I••••••••• S•••••••• I••• formerJan 22, 2003 to Mar 24, 2008 · Winston-Salem, Nc
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 5, 2023, registered Jun 5, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- F•••• C••••••• I••••••• S•••••••• I••• to S•••• • S••••••••• L••left Dec 21, 2012, registered Dec 21, 2012 (0 days) · Other
- B••• I••••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left Mar 24, 2008, registered Apr 3, 2008 (10 days) · Other
- R•••• S••••••• G••••• left T••••• A••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2023-06-05)Jun 5, 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address