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.
R••••• H•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 30, 2019 · Greenville, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJan 14, 2015 to Apr 30, 2019 · Raleigh, Nc
- P•• W••••• M••••••••• BD affiliatedJul 5, 2012 to Jan 15, 2015 · Ahoskie, Nc
- B••• I••••••••• S•••••••• I••• formerAug 6, 2009 to Jul 5, 2012 · Greenville, Nc
- W•••• F•••• A••••••• wirehouseMar 23, 2007 to Feb 5, 2009 · Greenville, Nc
- U•• F•••••••• S••••••• I••• wirehouseFeb 22, 2007 to Mar 21, 2007 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 30, 2019, registered Apr 30, 2019 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P•• W••••• M••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Jan 15, 2015, registered Jan 14, 2015 (-1 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jul 5, 2012, registered Jul 5, 2012 (0 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Feb 5, 2009, registered Aug 6, 2009 (182 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 21, 2007, registered Mar 23, 2007 (2 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address