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.
J•••• C•••••• G•••••••
- I••••••••• A••••••• N•••••• L•• independent RIA currentsince May 29, 2019 · Asheville, Nc
- S••••• A••••••• I••• BD affiliatedAug 31, 2018 to May 31, 2019 · Southern Pines, Nc
- S••••• A••••••• I••• BD affiliatedAug 16, 2018 to Aug 16, 2018 · Southern Pines, Nc
- S•••••• I••••••••• G••••• L•• formerJul 16, 2018 to Aug 30, 2018 · Southern Pines, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 17, 2015 to Jul 11, 2018 · Pinehurst, Nc
- S•••••• A••••••• S•••••••• L•• unclassifiedAug 14, 2013 to May 29, 2014 · Manhattan, Ks
- S••••• A••••••• I••• to I••••••••• A••••••• N•••••• L••left May 31, 2019, registered May 29, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••• I••••••••• G••••• L•• to S••••• A••••••• I•••left Aug 30, 2018, registered Aug 16, 2018 (-14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• I••••••••• G••••• L••left Jul 11, 2018, registered Jul 16, 2018 (5 days) · Other
- S•••••• A••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 29, 2014, registered Dec 17, 2015 (567 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address