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.
C•••••• N••• W••••
- F•••• C••••••• A•••• M••••••••• I•• BD affiliated currentsince Jul 1, 2026 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Apr 25, 2019 · Raleigh, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Apr 1, 2019 · Roanoke Rapids, Nc
- B••• I••••••••• S•••••••• I••• formerFeb 5, 2008 to Jan 2, 2018 · Roanoke Rapids, Nc
- B••• I••••••••• S•••••••• I••• formerFeb 8, 2006 to Sep 12, 2007 · Roanoke Rapids, Nc
- B••• A•••• M••••••••• I••• unclassifiedSep 1, 2005 to Feb 9, 2006 · Roanoke Rapids, Nc
- B••• S••••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Apr 1, 2019, registered Apr 25, 2019 (24 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Feb 9, 2006, registered Feb 8, 2006 (-1 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address