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.
C••••••••• L•• G•••
- W•••• F•••• A••••••• wirehouse currentsince Jun 25, 2020 · Durham, Nc
- P•• W••••• M••••••••• BD affiliatedMay 13, 2015 to Jul 2, 2020 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedOct 2, 2013 to Feb 27, 2015 · Winston-Salem, Nc
- E••••• J•••• national BDApr 22, 2013 to Aug 30, 2013 · Winston Salem, Nc
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jul 2, 2020, registered Jun 25, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Feb 27, 2015, registered May 13, 2015 (75 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Aug 30, 2013, registered Oct 2, 2013 (33 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address