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.
- A••••• independent RIA currentsince Feb 1, 2024 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseJun 6, 2014 to Mar 29, 2022 · Raleigh, Nc
- P•• W••••• M••••••••• BD affiliatedNov 23, 2012 to Jun 2, 2014 · Fayetteville, Nc
- M••••• S•••••• wirehouseFeb 7, 2011 to Mar 28, 2012 · Fayetteville, Nc
- W•••• F•••• A••••••• to A•••••left Mar 29, 2022, registered Feb 1, 2024 (674 days) · Wirehouse to independent RIA
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jun 2, 2014, registered Jun 6, 2014 (4 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Mar 28, 2012, registered Nov 23, 2012 (240 days) · Other
- M•••••• G•••••• C••••• left W•••• F•••• A••••••• for Acorns (registered 2024-02-01)Mar 29, 2022 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address