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.
J•••• C• B••••
- A••••••••• I••••••••• L•• state registered currentsince Nov 4, 2019 · Greensboro, Nc
- I••••••••• P••••••• L•• independent RIAOct 10, 2017 to Oct 23, 2019 · Greensboro, Nc
- P•••• S••••••••• L•• no RAUMMar 19, 2014 to Oct 25, 2017 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerMay 10, 2010 to Feb 18, 2014 · Greensboro, Nc
- W•••• F•••• A••••••• wirehouseJan 13, 2009 to Apr 6, 2010 · Greensboro, Nc
- I••••••••• P••••••• L•• to A••••••••• I••••••••• L••left Oct 23, 2019, registered Nov 4, 2019 (12 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- P•••• S••••••••• L•• to I••••••••• P••••••• L••left Oct 25, 2017, registered Oct 10, 2017 (-15 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Feb 18, 2014, registered Mar 19, 2014 (29 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Apr 6, 2010, registered May 10, 2010 (34 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address