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.
C••••• E••••• L•••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Nov 14, 2023 · Durham, Nc
- F••• D••••• A••••••• I••• institutionalJan 28, 2020 to Oct 16, 2023 · Greensboro, Nc
- F••• D••••• A••••••• I••• institutionalJan 8, 2014 to Dec 31, 2019 · Greensboro, Nc
- F••• D••••• A••••••• I••• institutionalOct 17, 2013 to Dec 19, 2013 · Greensboro, Nc
- V••••• A•••• M••••••••• independent RIAJul 29, 2011 to Oct 16, 2013 · Durham, Nc
- V••••• I••••••••• I••• unclassifiedJun 18, 2010 to Jul 29, 2011 · Durham, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 1, 2008 to Jun 21, 2010 · Chapel Hill, Nc
- V••••• I••••••••• I••• unclassifiedFeb 28, 2007 to Apr 16, 2008 · Durham, Nc
- F••• D••••• A••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Oct 16, 2023, registered Nov 14, 2023 (29 days) · Other
- V••••• A•••• M••••••••• to F••• D••••• A••••••• I•••left Oct 16, 2013, registered Oct 17, 2013 (1 days) · Other
- V••••• I••••••••• I••• to V••••• A•••• M•••••••••left Jul 29, 2011, registered Jul 29, 2011 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••• I••••••••• I•••left Jun 21, 2010, registered Jun 18, 2010 (-3 days) · Other
- V••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 16, 2008, registered May 1, 2008 (15 days) · Other
- C••••• E••••• L••• left F••• D••••• A••••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-11-14)Oct 16, 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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address