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.
L•••• K•••• N••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Raleigh, Nc
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Raleigh, Nc
- S•••• • S••••••••• L•• formerApr 23, 2012 to Jan 2, 2013 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 23, 2012 · Raleigh, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 11, 2005 to Oct 23, 2009 · Raleigh, Nc
- E•••••••• A•••••••• L•• national BDMar 5, 2003 to Apr 5, 2005 · Chapel Hill, Nc
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• • S••••••••• L••left Apr 23, 2012, registered Apr 23, 2012 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 5, 2005, registered Jul 11, 2005 (97 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address