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••••••• D••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 20, 2022 · Greensboro, Nc
- S•••••• N••••••• • C••••••• I••••••••• national BDSep 27, 2019 to May 16, 2022 · Greensboro, Nc
- S••••••• I••••••••• S•••••••• I••• formerFeb 2, 2011 to Mar 9, 2012 · Winston-Salem, Nc
- L•• F•••••••• L•• BD affiliatedJul 23, 2010 to Feb 4, 2011 · Yadkinville, Nc
- W•••• F•••• A••••••• wirehouseDec 11, 2009 to Jul 23, 2010 · Winston Salem, Nc
- B••• I••••••••• S•••••••• I••• formerNov 7, 2008 to Dec 11, 2009 · Winston Salem, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 2007 to Oct 28, 2008 · Winston Salem, Nc
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left May 16, 2022, registered Apr 20, 2022 (-26 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••••• I••••••••• S•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 9, 2012, registered Sep 27, 2019 (2758 days) · Other
- L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Feb 4, 2011, registered Feb 2, 2011 (-2 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 23, 2010, registered Jul 23, 2010 (0 days) · Other
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Dec 11, 2009, registered Dec 11, 2009 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Oct 28, 2008, registered Nov 7, 2008 (10 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••••• D••• P••••• left S•••••• N••••••• • C••••••• I••••••••• for L•• F•••••••• L•• (registered 2022-04-20)May 16, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address