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•••• L• J••••••
- B••••••••• W••••• A••••••• L•• state registered currentsince Jul 19, 2022 · Raleigh, Nc
- O•••• I••••••••• I••• BD affiliatedOct 22, 2020 to Jun 30, 2022 · Clinton, Nc
- S••••••••• W••••• mixed wealthMay 14, 2019 to Jan 14, 2020 · Morrisville, Nc
- O•••• I••••••••• I••• to B••••••••• W••••• A••••••• L••left Jun 30, 2022, registered Jul 19, 2022 (19 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S••••••••• W••••• to O•••• I••••••••• I•••left Jan 14, 2020, registered Oct 22, 2020 (282 days) · Other
- B•••• L• J•••••• left O•••• I••••••••• I••• for B••••••••• W••••• A••••••• L•• (registered 2022-07-19)Jun 30, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address