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••••• Y••• H••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 27, 2021 · Chapel Hill, Nc
- P•• W••••• M••••••••• BD affiliatedNov 29, 2018 to Oct 5, 2021 · Cary, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 1, 2015 to Nov 6, 2018 · Raleigh, Nc
- E••••• J•••• national BDFeb 3, 2014 to Jun 17, 2015 · St Louis, Mo
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Oct 5, 2021, registered Sep 27, 2021 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Nov 6, 2018, registered Nov 29, 2018 (23 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Jun 17, 2015, registered Sep 1, 2015 (76 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address