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.
F••••••• K••• A•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 28, 2021 · Raleigh, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Sep 21, 2020 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJan 13, 2016 to Jan 2, 2018 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 13, 2010 to Dec 22, 2015 · Greensboro, Nc
- S••••••• I••••••••• S•••••••• I••• formerMar 30, 2006 to Nov 28, 2007 · Durham, Nc
- B••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 21, 2020, registered Jan 28, 2021 (129 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Dec 22, 2015, registered Jan 13, 2016 (22 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 28, 2007, registered Dec 13, 2010 (1111 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