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.
A••••• K•••••• R•••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Raleigh, Nc
- S••••••• I••••••••• I••• formerMar 2, 2017 to Nov 2, 2018 · Raleigh, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 21, 2014 to Mar 6, 2017 · Raleigh, Nc
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S••••••• I••••••••• I•••left Mar 6, 2017, registered Mar 2, 2017 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address