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.
C•••••• M•••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 11, 2008 · Lumberton, Nc
- A•••••• A••••••• S••••••• formerSep 2, 2004 to Feb 6, 2008 · Lumberton, Nc
- O•••• F•• I••• formerSep 5, 2003 to Aug 27, 2004 · Lumberton, Nc
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Feb 6, 2008, registered Feb 11, 2008 (5 days) · Other
- O•••• F•• I••• to A•••••• A••••••• S•••••••left Aug 27, 2004, registered Sep 2, 2004 (6 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address