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••••• S•••••• M•••••••
- M••••• W••••• M••••••••• L•• independent RIA currentsince Apr 26, 2023 · Winston-Salem, Nc
- P••••• F•••••••• formerAug 2, 2018 to Apr 27, 2023 · Winston Salem, Nc
- R•• P•••••• W••••• independent RIAJan 12, 2016 to Jul 26, 2018 · Wyomissing, Pa
- S••••••• F•••••••• A•••••••• L•• formerMay 14, 2015 to Feb 12, 2016 · Wyomissing, Pa
- P••••• F•••••••• to M••••• W••••• M••••••••• L••left Apr 27, 2023, registered Apr 26, 2023 (-1 days) · corporate re-registration, not a move
- R•• P•••••• W••••• to P••••• F••••••••left Jul 26, 2018, registered Aug 2, 2018 (7 days) · RIA to RIA
- S••••••• F•••••••• A•••••••• L•• to R•• P•••••• W•••••left Feb 12, 2016, registered Jan 12, 2016 (-31 days) · Other · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address