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.
S••••• K••• L••••
- L•••• A•• A••••••••• C•••••• A•••••••• L•• state registered currentsince Oct 12, 2015 · Holly Springs, Nc
- B••••••••• A•••• M••••••••• L•• asset managerJun 3, 2019 to Dec 31, 2021 · Holly Springs, Nc
- B••••••••• C•••••• M••••••••• L•• independent RIAMar 24, 2016 to Dec 31, 2018 · Raleigh, Nc
- U•• F•••••••• S••••••••• L•• independent RIAJul 29, 2014 to Oct 12, 2015 · Ada, Mi
- L•••• A•• A••••••••• C•••••• A•••••••• L•• state registeredDec 8, 2011 to Jul 29, 2014 · Holly Springs, Nc
- B••••••••• C•••••• M••••••••• L•• independent RIAJun 26, 2009 to Oct 4, 2011 · Holly Springs, Md
- B••••••••• A•••• M••••••••• L•• to no registered destinationleft Dec 31, 2021 · Departure, no registered destination
- B••••••••• C•••••• M••••••••• L•• to B••••••••• A•••• M••••••••• L••left Dec 31, 2018, registered Jun 3, 2019 (154 days) · RIA to RIA
- U•• F•••••••• S••••••••• L•• to L•••• A•• A••••••••• C•••••• A•••••••• L••left Oct 12, 2015, registered Oct 12, 2015 (0 days) · Other
- L•••• A•• A••••••••• C•••••• A•••••••• L•• to U•• F•••••••• S••••••••• L••left Jul 29, 2014, registered Jul 29, 2014 (0 days) · Other
- B••••••••• C•••••• M••••••••• L•• to L•••• A•• A••••••••• C•••••• A•••••••• L••left Oct 4, 2011, registered Dec 8, 2011 (65 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address