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.
L••• R••••••• A•••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · High Point, Nc
- P•••• S••••••••• L•• no RAUMMar 3, 2021 to Nov 14, 2024 · High Point, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 1, 2021 · High Point, Nc
- M•• F•••••••• S•••••••• I••• formerFeb 19, 2014 to Mar 25, 2017 · Greensboro, Nc
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Mar 1, 2021, registered Mar 3, 2021 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address