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.
E••• J••• S•••••••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Jul 7, 2011 · Chapel Hill, Nc
- J••••• C•••••• M••••••••• L•• formerFeb 4, 2009 to Jun 2, 2011 · Hernando, Fl
- F•••• L••••• S••••••••• L•• unclassifiedAug 13, 2007 to Apr 28, 2008 · Helena, Al
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 15, 2006 to Oct 4, 2006 · Raleigh, Nc
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedMay 13, 2005 to Oct 4, 2006 · Milwaukee, Wi
- J••••• C•••••• M••••••••• L•• to A•••••• W••••• M••••••••• L••left Jun 2, 2011, registered Jul 7, 2011 (35 days) · Other
- F•••• L••••• S••••••••• L•• to J••••• C•••••• M••••••••• L••left Apr 28, 2008, registered Feb 4, 2009 (282 days) · Other
- N••••••••• M••••• W••••• M••••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••left Oct 4, 2006, registered May 15, 2006 (-142 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to F•••• L••••• S••••••••• L••left Oct 4, 2006, registered Aug 13, 2007 (313 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address