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•••• R••••••••• B••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 11, 2023 · Greensboro, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 5, 2023 to Sep 7, 2023 · Greensboro, Nc
- C•••••• S••••• • C••• I••• national BDOct 26, 2021 to Jan 5, 2023 · Greensboro, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 2, 2019 to Aug 2, 2021 · Durham, Nc
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 11, 2023 (-27 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 5, 2023, registered Jan 5, 2023 (0 days) · channel change inside one enterprise, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Aug 2, 2021, registered Oct 26, 2021 (85 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address