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•••• H••••• M•••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Dec 23, 2020 · Raleigh, Nc
- P•• W••••• M••••••••• BD affiliatedApr 17, 2013 to Jan 5, 2021 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 16, 2011 to Apr 3, 2013 · Raleigh, Nc
- M••••• S•••••• wirehouseApr 26, 2010 to Sep 2, 2011 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedNov 29, 2007 to Oct 5, 2009 · Raleigh, Nc
- B••• I••••••••• S•••••••• I••• formerApr 5, 2006 to Nov 7, 2007 · Charlotte, Nc
- E•••••••• A•••••••• L•• national BDOct 21, 2004 to Dec 12, 2005 · Denver, Co
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left Jan 5, 2021, registered Dec 23, 2020 (-13 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Apr 3, 2013, registered Apr 17, 2013 (14 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 2, 2011, registered Nov 16, 2011 (75 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to M••••• S••••••left Oct 5, 2009, registered Apr 26, 2010 (203 days) · Other
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 7, 2007, registered Nov 29, 2007 (22 days) · Other
- E•••••••• A•••••••• L•• to B••• I••••••••• S•••••••• I•••left Dec 12, 2005, registered Apr 5, 2006 (114 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address