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.
S••••• M• P•••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Apr 12, 2016 · Washington, Nc
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedSep 18, 2015 to Mar 11, 2016 · Morehead City, Nc
- C••• F••• S••••••••• I••• unclassifiedOct 5, 2011 to Sep 18, 2015 · Moorehead, Nc
- L•• F•••••••• L•• BD affiliatedSep 3, 2010 to Oct 6, 2011 · Morehead City, Nc
- E••••• J•••• national BDFeb 1, 2010 to Sep 7, 2010 · Rolesville, Nc
- C•••••• I••••••••• A••••••• S•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left Mar 11, 2016, registered Apr 12, 2016 (32 days) · Other · moved with a team
- C••• F••• S••••••••• I••• to C•••••• I••••••••• A••••••• S•••••••• L••left Sep 18, 2015, registered Sep 18, 2015 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to C••• F••• S••••••••• I•••left Oct 6, 2011, registered Oct 5, 2011 (-1 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Sep 7, 2010, registered Sep 3, 2010 (-4 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