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.
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D•••• A••• D••••
- D••• D••••••• • C•• independent RIA currentsince Jan 31, 2024 · Fayetteville, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Feb 1, 2024 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Fayetteville, Nc
- B••• I••••••••• S•••••••• I••• formerDec 10, 2012 to Jan 2, 2018 · Fayetteville, Nc
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 16, 2010 to Nov 21, 2012 · Greensboro, Nc
- E••••• J•••• national BDOct 10, 2006 to Nov 21, 2006 · St Louis, Mo
- T••••• A••••••• S•••••••• I••• to D••• D••••••• • C••left Feb 1, 2024, registered Jan 31, 2024 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to B••• I••••••••• S•••••••• I•••left Nov 21, 2012, registered Dec 10, 2012 (19 days) · Other
- E••••• J•••• to V•••• F•••••••• A•••••••• I•••left Nov 21, 2006, registered Sep 16, 2010 (1395 days) · Other
- D•••• A••• D•••• left T••••• A••••••• S•••••••• I••• for D••• D••••••• • C•• (registered 2024-01-31)Feb 1, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address