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.
D•••• T••••••• W•••••••
- V•••••• A•••••••• I••• institutional currentsince Jun 14, 2023 · Cary, Nc
- C••• W•••••• L•• formerJan 7, 2019 to Jun 8, 2023 · Raleigh, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 9, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDMay 3, 2017 to Jul 13, 2018 · Durham, Nc
- C••• W•••••• L•• to V•••••• A•••••••• I•••left Jun 8, 2023, registered Jun 14, 2023 (6 days) · Other
- F••••••• P••••••• A•• W•••••••• A••••••• to C••• W•••••• L••left Jan 9, 2019, registered Jan 7, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- D•••• T••••••• W••••••• left C••• W•••••• L•• for V•••••• A•••••••• I••• (registered 2023-06-14)Jun 8, 2023 · 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
- Institutional managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address