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.
S••••• G•••• A•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 23, 2021 · Hickory, Nc
- O•••• F•• I••• formerMay 31, 2011 to Apr 28, 2021 · Raleigh, Nc
- S•••••• I••••••••• G••••• L•• formerJan 15, 2008 to May 16, 2011 · Hickory, Nc
- B••• I••••••••• S•••••••• I••• formerDec 1, 2006 to Dec 19, 2007 · Morganton, Nc
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 28, 2021, registered Apr 23, 2021 (-5 days) · corporate re-registration, not a move
- S•••••• I••••••••• G••••• L•• to O•••• F•• I•••left May 16, 2011, registered May 31, 2011 (15 days) · Other
- B••• I••••••••• S•••••••• I••• to S•••••• I••••••••• G••••• L••left Dec 19, 2007, registered Jan 15, 2008 (27 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