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•••• L•••••• K•••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Dec 22, 2020 · Durham, Nc
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 17, 2020 to Oct 30, 2020 · Burlington, Nc
- S••••••••• A•••••• A•••••••• I••• formerMar 31, 2020 to Jun 10, 2020 · Winston Salem, Nc
- E••••• J•••• national BDJul 5, 2018 to Sep 18, 2018 · Summerfield, Nc
- A••••••• F•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 30, 2020, registered Dec 22, 2020 (53 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jun 10, 2020, registered Sep 17, 2020 (99 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2018, registered Mar 31, 2020 (560 days) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address