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.
M•••••• T••••• K•••
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 5, 2016 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedJan 22, 2015 to Aug 17, 2016 · Smithfield, Nc
- B••• I••••••••• S•••••••• I••• formerMay 20, 2013 to Dec 23, 2014 · Annapolis, Md
- L•• F•••••••• L•• to C•••••• I••••••••• A••••••• S•••••••• L••left Aug 17, 2016, registered Oct 5, 2016 (49 days) · Other
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 23, 2014, registered Jan 22, 2015 (30 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address