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.
G••• R• C•••••••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Apr 28, 2018 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2012 to Apr 10, 2018 · Cary, Nc
- P•••••••• S••••••••• I••• BD affiliatedApr 12, 2011 to Nov 14, 2012 · Raleigh, Nc
- E••••• J•••• national BDSep 22, 2009 to Apr 6, 2011 · Cary, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Apr 10, 2018, registered Apr 28, 2018 (18 days) · Wirehouse to affiliated broker-dealer or bank
- P•••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 14, 2012, registered Nov 21, 2012 (7 days) · Other
- E••••• J•••• to P•••••••• S••••••••• I•••left Apr 6, 2011, registered Apr 12, 2011 (6 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address