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•••• B•••• B••••••
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince Mar 21, 2023 · Green Bay, Wi
- S•• BD affiliatedFeb 8, 2019 to Dec 31, 2022 · Lexington, Nc
- P••• A••••• S••••••••• L•• BD affiliatedOct 22, 2014 to Dec 31, 2018 · Lexington, Nc
- S•• to P••••••••• B•••••••• S•••••••• I•••left Dec 31, 2022, registered Mar 21, 2023 (80 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to S••left Dec 31, 2018, registered Feb 8, 2019 (39 days) · Affiliated broker-dealer or bank to another
- L•••• B•••• B•••••• left Spc for P••••••••• B•••••••• S•••••••• I••• (registered 2023-03-21)Dec 31, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address