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.
A•••• D••• S••••
- O•••• I••••••••• I••• BD affiliated currentsince Dec 13, 2012 · Cary, Nc
- L•• F•••••••• L•• BD affiliatedMay 17, 2012 to Nov 15, 2012 · Apex, Nc
- S••••••• P•••••• F••••••••• L•• formerOct 5, 2009 to Sep 30, 2011 · Atlanta, Ga
- C••• F•••••••• S•••••••• L••• formerMar 12, 2007 to Oct 26, 2007 · Winston-Salem, Nc
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Nov 15, 2012, registered Dec 13, 2012 (28 days) · Other
- S••••••• P•••••• F••••••••• L•• to L•• F•••••••• L••left Sep 30, 2011, registered May 17, 2012 (230 days) · Other
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Oct 26, 2007, registered Oct 5, 2009 (710 days) · Other
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address