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.
B••• P•••••• W•••
- C•••••••• L•• other currentsince Mar 22, 2022 · Lake Mary, Fl
- P•••••••• S••••••••• I••• BD affiliatedDec 16, 2011 to Jan 23, 2022 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedJul 7, 2006 to Dec 31, 2009 · Raleigh, Nc
- M••••• S•••••• D• I••• unclassifiedSep 19, 2005 to Jun 1, 2006 · Raleigh, Nc
- P•••••••• S••••••••• I••• to C•••••••• L••left Jan 23, 2022, registered Mar 22, 2022 (58 days) · Other
- M••••• S•••••• D• I••• to P•••••••• S••••••••• I•••left Jun 1, 2006, registered Jul 7, 2006 (36 days) · Other
- B••• P•••••• W••• left P•••••••• S••••••••• I••• for C•••••••• L•• (registered 2022-03-22)Jan 23, 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
- Other adviserderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address