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.
N••••• L•• H•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 18, 2020 · Kernersville, Nc
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Sep 2, 2020 · Greensboro, Nc
- N•• A•••••• S•••••••• L•• formerFeb 2, 2015 to Sep 22, 2016 · Greensboro, Nc
- I••••• F•••••••• C••••••••• formerFeb 11, 2013 to Feb 10, 2015 · Highpoint, Nc
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 11, 2009 to Feb 11, 2013 · High Point, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJun 15, 2006 to Feb 25, 2009 · Winston Salem, Nc
- K••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 2, 2020, registered Sep 18, 2020 (16 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to N•• A•••••• S•••••••• L••left Feb 10, 2015, registered Feb 2, 2015 (-8 days) · Other · moved with a team
- V••• F•••••••• A•••••••• I••• to I••••• F•••••••• C•••••••••left Feb 11, 2013, registered Feb 11, 2013 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Feb 25, 2009, registered Mar 11, 2009 (14 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