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.
R•••••• R••••• A••
- W•••• F•••• A••••••• wirehouse currentsince Sep 24, 2021 · Greensboro, Nc
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 9, 2016 to Oct 5, 2021 · Burlington, Nc
- S••••••• I••••••••• S•••••••• I••• formerDec 3, 2014 to Dec 31, 2016 · Graham, Nc
- B••• I••••••••• S•••••••• I••• formerMay 14, 2012 to Nov 17, 2014 · High Point, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 13, 2010 to May 8, 2012 · Greensboro, Nc
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Oct 5, 2021, registered Sep 24, 2021 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 9, 2016 (-113 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Nov 17, 2014, registered Dec 3, 2014 (16 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left May 8, 2012, registered May 14, 2012 (6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address