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.
M•••••• C• B•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 4, 2024 · Bethesda, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 29, 2018 to Feb 2, 2022 · Wilmington, Nc
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedJan 18, 2017 to Nov 12, 2018 · Wilmington, Nc
- I••••••• I••••••••• M••••••••• L•• formerJan 2, 2013 to Dec 31, 2015 · Wilmington, Nc
- I••••••• P•••••••• I••• formerJun 26, 2012 to Nov 2, 2016 · Wilmington, Nc
- O•• N•••• S•••• W••••• M••••••••• L•• independent RIADec 4, 2008 to Jun 1, 2012 · Wilmington, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 4, 2005 to Nov 18, 2008 · Wilmington, Nc
- M•• I•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Feb 2, 2022, registered Jan 4, 2024 (701 days) · Affiliated broker-dealer or bank to another
- C•••••• I••••••••• A••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Nov 12, 2018, registered Nov 29, 2018 (17 days) · Affiliated broker-dealer or bank to another
- I••••••• P•••••••• I••• to I••••••• I••••••••• M••••••••• L••left Nov 2, 2016, registered Jan 2, 2013 (-1400 days) · Other
- I••••••• I••••••••• M••••••••• L•• to C•••••• I••••••••• A••••••• S•••••••• L••left Dec 31, 2015, registered Jan 18, 2017 (384 days) · Other
- O•• N•••• S•••• W••••• M••••••••• L•• to I••••••• P•••••••• I•••left Jun 1, 2012, registered Jun 26, 2012 (25 days) · Other
- C•••••••• G••••• M•••••• I••• to O•• N•••• S•••• W••••• M••••••••• L••left Nov 18, 2008, registered Dec 4, 2008 (16 days) · Other
- M•••••• C• B••••• left M•• I•••••••• S•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2024-01-04)Feb 2, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address