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••••• L•••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Aug 5, 2021 · Mt. Pleasant, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Aug 6, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Mt. Pleasant, Sc
- S•••• • S••••••••• L•• formerJan 22, 2009 to Jan 2, 2013 · Mt. Pleasant, Sc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Feb 9, 2009 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 21, 2000 to Feb 21, 2006 · Charleston, Sc
- T••••• A••••••• S•••••••• I••• to J••••• M••••••••• S•••• L••left Aug 6, 2021, registered Aug 5, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to S•••• • S••••••••• L••left Feb 9, 2009, registered Jan 22, 2009 (-18 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address