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.
D•••• C•••••••• B•••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 5, 2022 · Raleigh, Nc
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Aug 4, 2022 · Raleigh, Nc
- S••••••• I••••••••• I••• formerAug 1, 2014 to Nov 2, 2018 · Raleigh, Nc
- M•• F•••••••• S•••••••• I••• formerMay 9, 2012 to Aug 7, 2014 · Raleigh, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJul 23, 2004 to May 9, 2012 · Raleigh, Nc
- O•••• W•••••• I••• to W•••• F•••• A•••••••left Aug 4, 2022, registered Aug 5, 2022 (1 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Aug 7, 2014, registered Aug 1, 2014 (-6 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left May 9, 2012, registered May 9, 2012 (0 days) · Other
- D•••• C•••••••• B••••• left O•••• W•••••• I••• for W•••• F•••• A••••••• (registered 2022-08-05)Aug 4, 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address