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.
R•••• A••• M•••••
- C•••••••• F••••••••• I••• BD affiliated currentsince May 19, 2015 · Lexington, Sc
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerApr 12, 2010 to Jun 15, 2015 · Lexington, Sc
- G•••••••• F••••••••• I•• unclassifiedApr 8, 2008 to Mar 29, 2010 · Lexington, Sc
- F•••• A••••• S••••••••• I••• formerFeb 18, 2004 to Mar 26, 2008 · Columbia, Sc
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C•••••••• F••••••••• I•••left Jun 15, 2015, registered May 19, 2015 (-27 days) · Other
- G•••••••• F••••••••• I•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Mar 29, 2010, registered Apr 12, 2010 (14 days) · Other
- F•••• A••••• S••••••••• I••• to G•••••••• F••••••••• I••left Mar 26, 2008, registered Apr 8, 2008 (13 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address