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••• K•••• P•••••
- F••••••• F•••••••• A•••••••• L•• independent RIA currentsince Jul 15, 2020 · Raleigh, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedJun 1, 2017 to Jul 24, 2018 · Raleigh, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 11, 2015 to Dec 23, 2016 · Durham, Nc
- W•• A•••••••• L• formerApr 18, 2011 to Dec 12, 2014 · Peoria, Il
- M•• F•••••••• S•••••••• I••• formerFeb 8, 2008 to Apr 28, 2011 · Peoria, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJul 27, 2006 to Jan 16, 2008 · Chicago, Il
- T••••• A••••••• S•••••••• I••• to F••••••• F•••••••• A•••••••• L••left Jul 24, 2018, registered Jul 15, 2020 (722 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• A•• P••••••• S••••••• to T••••• A••••••• S•••••••• I•••left Dec 23, 2016, registered Jun 1, 2017 (160 days) · Other
- W•• A•••••••• L• to A••••• A•• P••••••• S•••••••left Dec 12, 2014, registered Feb 11, 2015 (61 days) · Other
- M•• F•••••••• S•••••••• I••• to W•• A•••••••• L•left Apr 28, 2011, registered Apr 18, 2011 (-10 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 16, 2008, registered Feb 8, 2008 (23 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address