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••• D••••• W••
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Dec 13, 2021 · Columbia, Sc
- S••••••• BD affiliatedSep 10, 2010 to Jan 6, 2022 · Columbia, Sc
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 21, 2010 · Columbia, Sc
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 5, 1992 to Jun 1, 2009 · Columbia, Sc
- S••••••• to I••••••••• A•••••• A•••••••• L••left Jan 6, 2022, registered Dec 13, 2021 (-24 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to S•••••••left Sep 21, 2010, registered Sep 10, 2010 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- P••• D••••• W•• left Stephens for I••••••••• A•••••• A•••••••• L•• (registered 2021-12-13)Jan 6, 2022 · a•••••• firm change · 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
- I••••••••• WEALTHderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address