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.
T••••• E••••• J••••
- E•• W••••• M••••••••• L•• independent RIA currentsince Dec 21, 2021 · Atlanta, Ga
- A•• W••••• I••• formerJul 16, 2014 to Nov 30, 2021 · Durham, Nc
- T•• P••••• I••••••••• L•• unclassifiedMay 4, 2009 to Jul 16, 2014 · Durham, Nc
- C•• A•••••••• L•• unclassifiedSep 26, 2007 to Apr 29, 2009 · Whitsett, Nc
- A•• W••••• I••• to E•• W••••• M••••••••• L••left Nov 30, 2021, registered Dec 21, 2021 (21 days) · RIA to RIA · moved with a team
- T•• P••••• I••••••••• L•• to A•• W••••• I•••left Jul 16, 2014, registered Jul 16, 2014 (0 days) · Other
- C•• A•••••••• L•• to T•• P••••• I••••••••• L••left Apr 29, 2009, registered May 4, 2009 (5 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address