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.
F•••••• G• K•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 26, 2021 · Spartanburg, Sc
- O••••••••• • C•• I••• BD affiliatedAug 16, 2013 to Apr 30, 2021 · Asheville, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 6, 2012 · Spartanburg, Sc
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 17, 2003 to Jun 1, 2009 · Spartanburg, Sc
- O••••••••• • C•• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 30, 2021, registered Apr 26, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to O••••••••• • C•• I•••left Nov 6, 2012, registered Aug 16, 2013 (283 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
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address