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••••• J••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jun 17, 2024 · Raleigh, Nc
- R•••••• J•••• • A••••••••• I••• national BDJun 23, 2022 to Jun 4, 2024 · Raleigh, Nc
- M••••• S•••••• wirehouseJan 4, 2019 to Mar 29, 2022 · Raleigh, Nc
- R•••••• J•••• • A••••••••• I••• to P•••••••• S••••••••• I•••left Jun 4, 2024, registered Jun 17, 2024 (13 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Mar 29, 2022, registered Jun 23, 2022 (86 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• J•••• left R•••••• J•••• • A••••••••• I••• for P•••••••• S••••••••• I••• (registered 2024-06-17)Jun 4, 2024 · Advisor changed firm · fact
- J••••• J•••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-06-23)Mar 29, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address