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•••••••• P•••••• C•••••••
- F••••••••• C•••••• independent RIA currentsince Dec 1, 2023 · Las Vegas, Nv
- T•••• F•••••••• A•••••••• I••• formerSep 10, 2018 to Dec 1, 2023 · Greensboro, Nc
- M••••• W••••• M••••••••• L•• formerNov 25, 2013 to Dec 31, 2018 · Greensboro, Nc
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMar 31, 2009 to Oct 10, 2013 · Kernersville, Nc
- F•••• C•••••• F•••••••• P•••••••• I••• formerJul 30, 2007 to Mar 30, 2009 · Kernersville, Nc
- E••••• J•••• national BDFeb 28, 2007 to Apr 18, 2007 · St Louis, Mo
- T•••• F•••••••• A•••••••• I••• to F••••••••• C••••••left Dec 1, 2023, registered Dec 1, 2023 (0 days) · RIA to RIA
- M••••• W••••• M••••••••• L•• to T•••• F•••••••• A•••••••• I•••left Dec 31, 2018, registered Sep 10, 2018 (-112 days) · RIA to RIA
- T••••••• I••••••••• M••••••••• I••• to M••••• W••••• M••••••••• L••left Oct 10, 2013, registered Nov 25, 2013 (46 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Mar 30, 2009, registered Mar 31, 2009 (1 days) · Other
- E••••• J•••• to F•••• C•••••• F•••••••• P•••••••• I•••left Apr 18, 2007, registered Jul 30, 2007 (103 days) · Other
- N•••••••• P•••••• C••••••• left T•••• F•••••••• A•••••••• I••• for F••••••••• C•••••• (registered 2023-12-01)Dec 1, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address