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•••••• N•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 1, 2023 · Raleigh, Nc
- P•••••••• S••••••••• I••• BD affiliatedJan 18, 2018 to Aug 11, 2023 · Raleigh, Nc
- W•••••• • R••• formerMar 7, 2014 to Dec 31, 2017 · Waltham, Ma
- P•••••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 11, 2023, registered Aug 1, 2023 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••••• • R••• to P•••••••• S••••••••• I•••left Dec 31, 2017, registered Jan 18, 2018 (18 days) · Other · moved with a team
- M••• T•••••• N••••• left P•••••••• S••••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-08-01)Aug 11, 2023 · 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
- 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