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.
B••••••• J• A••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Winston Salem, Nc
- S••••• F•••••••• G•••• I•• formerJul 9, 2020 to May 20, 2021 · Greensboro, Nc
- P••••••• C•••••• M••••••••• L•• independent RIANov 19, 2019 to Feb 26, 2021 · Greenboro, Nc
- M••••• S•••••• wirehouseFeb 5, 2019 to Sep 19, 2019 · Greensboro, Nc
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
- P••••••• C•••••• M••••••••• L•• to S••••• F•••••••• G•••• I••left Feb 26, 2021, registered Jul 9, 2020 (-232 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to P••••••• C•••••• M••••••••• L••left Sep 19, 2019, registered Nov 19, 2019 (61 days) · Wirehouse to independent RIA
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address