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••••• L• W••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2017 · Raleigh, Nc
- S••••••••• A•••••• A•••••••• I••• formerAug 7, 2014 to Mar 21, 2017 · Kitty Hawk, Nc
- O•••• F•• I••• formerNov 15, 2013 to Aug 12, 2014 · Kitty Hawk, Nc
- L•• F•••••••• L•• BD affiliatedMay 31, 2012 to Dec 16, 2013 · Wilmington, Nc
- E•••••••• A•••••••• L•• national BDJun 30, 2010 to Jun 4, 2012 · Wilmington, Nc
- S••••••••• A•••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Mar 21, 2017, registered Mar 21, 2017 (0 days) · Other · moved with a team
- O•••• F•• I••• to S••••••••• A•••••• A•••••••• I•••left Aug 12, 2014, registered Aug 7, 2014 (-5 days) · Other
- L•• F•••••••• L•• to O•••• F•• I•••left Dec 16, 2013, registered Nov 15, 2013 (-31 days) · Other
- E•••••••• A•••••••• L•• to L•• F•••••••• L••left Jun 4, 2012, registered May 31, 2012 (-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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address