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.
H•••••• H••••• S••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 7, 2020 · Greensboro, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Jan 30, 2020 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerMar 21, 2006 to Jan 2, 2018 · Greensboro, Nc
- B••• A•••• M••••••••• I••• unclassifiedJan 7, 2005 to Mar 21, 2006 · Raleigh, Nc
- B••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 30, 2020, registered May 7, 2020 (98 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 21, 2006, registered Mar 21, 2006 (0 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