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.
D•••• R•• S••••••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Jan 18, 2017 · Wilmington, Nc
- G••••• F•••••••• P•••••• C••••••• I••• formerMar 11, 2015 to Jan 13, 2017 · Wilmington, Nc
- R•••••• W••••• A•••••••• I••• independent RIASep 26, 2012 to Mar 9, 2015 · Wilmington, Nc
- F• A•••••• N••••••• L••• formerSep 2, 2010 to Sep 17, 2012 · Wilmington, Nc
- U•• W••••• M••••••••• L•• formerJul 6, 2006 to Aug 16, 2010 · Wilmington, Nc
- G••••• F•••••••• P•••••• C••••••• I••• to A• W••••• M••••••••• L••left Jan 13, 2017, registered Jan 18, 2017 (5 days) · Other · moved with a team
- R•••••• W••••• A•••••••• I••• to G••••• F•••••••• P•••••• C••••••• I•••left Mar 9, 2015, registered Mar 11, 2015 (2 days) · Other
- F• A•••••• N••••••• L••• to R•••••• W••••• A•••••••• I•••left Sep 17, 2012, registered Sep 26, 2012 (9 days) · Other
- U•• W••••• M••••••••• L•• to F• A•••••• N••••••• L•••left Aug 16, 2010, registered Sep 2, 2010 (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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address