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.
P••••• H••••••• B••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 2, 2024 · Greenville, Sc
- F••••••• C•••••• A•••••••• L•• formerMar 23, 2018 to Oct 3, 2024 · Greenville, Sc
- G•• C•••••• I••• formerMay 19, 2014 to Mar 25, 2019 · Greenville, Sc
- F••••••• I••••••••• A••••••• S•••••••• L•• formerMar 16, 2009 to Mar 28, 2018 · Greenville, Sc
- G•• C•••••• I••• formerApr 26, 2007 to Mar 12, 2009 · Greenville, Sc
- A••••••• S••••••••• G••••• I••• unclassifiedApr 26, 2006 to May 7, 2007 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 5, 2002 to Apr 24, 2006 · Greenville, Sc
- F••••••• C•••••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 3, 2024, registered Oct 2, 2024 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- G•• C•••••• I••• to F••••••• C•••••• A•••••••• L••left Mar 25, 2019, registered Mar 23, 2018 (-367 days) · Other
- F••••••• I••••••••• A••••••• S•••••••• L•• to G•• C•••••• I•••left Mar 28, 2018, registered May 19, 2014 (-1409 days) · channel change inside one enterprise, not a move
- G•• C•••••• I••• to F••••••• I••••••••• A••••••• S•••••••• L••left Mar 12, 2009, registered Mar 16, 2009 (4 days) · Other
- A••••••• S••••••••• G••••• I••• to G•• C•••••• I•••left May 7, 2007, registered Apr 26, 2007 (-11 days) · Other
- W•••• F•••• A••••••• to A••••••• S••••••••• G••••• I•••left Apr 24, 2006, registered Apr 26, 2006 (2 days) · Other
- P••••• H••••••• B•••• left F••••••• C•••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-10-02)Oct 3, 2024 · 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address