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•••••• R••••• M••••••••
- F••••••• W••••• M••••••••• G••••• L•• state registered currentsince Oct 17, 2024 · Cary, Nc
- T•• P••••••• F•••••••• G•••• independent RIANov 9, 2021 to Oct 16, 2024 · Cary, Nc
- L•• F•••••••• L•• BD affiliatedFeb 11, 2010 to Jan 14, 2022 · Durham, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDAug 24, 2004 to Feb 24, 2010 · Columbia, Md
- T•• P••••••• F•••••••• G•••• to F••••••• W••••• M••••••••• G••••• L••left Oct 16, 2024, registered Oct 17, 2024 (1 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to T•• P••••••• F•••••••• G••••left Jan 14, 2022, registered Nov 9, 2021 (-66 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 24, 2010, registered Feb 11, 2010 (-13 days) · Other
- M•••••• R••••• M•••••••• left T•• P••••••• F•••••••• G•••• for F••••••• W••••• M••••••••• G••••• L•• (registered 2024-10-17)Oct 16, 2024 · Advisor changed firm · fact
- M•••••• R••••• M•••••••• left L•• F•••••••• L•• for T•• P••••••• F•••••••• G•••• (registered 2021-11-09)Jan 14, 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address