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.
J•••• C••••• B••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Sep 18, 2012 · Charlotte, Nc
- S•••• • S••••••••• L•• formerMar 1, 2007 to May 1, 2012 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2006 to Feb 6, 2007 · Chapel Hill, Nc
- S•••• • S••••••••• L•• to F•••• T•••• S••••••••• I•••left May 1, 2012, registered Sep 18, 2012 (140 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• • S••••••••• L••left Feb 6, 2007, registered Mar 1, 2007 (23 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address