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.
R•• N••••••• S••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Feb 1, 2023 · Greensboro, Nc
- P•••••••• S••••••••• I••• BD affiliatedNov 25, 2020 to Mar 31, 2021 · Cedar Grove, Nc
- D••••••• A•••••••• L•• formerApr 8, 2019 to Dec 31, 2019 · Pasadena, Ca
- M••••• S•••••• wirehouseApr 23, 2014 to Apr 6, 2017 · Washington, Dc
- P•••••••• S••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 31, 2021, registered Feb 1, 2023 (672 days) · Other
- D••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Dec 31, 2019, registered Nov 25, 2020 (330 days) · Other
- M••••• S•••••• to D••••••• A•••••••• L••left Apr 6, 2017, registered Apr 8, 2019 (732 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address