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.
M••••• J••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 12, 2023 · Mt. Pleasant, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jul 12, 2023 · Mt. Pleasant, Sc
- B••• S••••••••• L•• formerFeb 27, 2017 to Feb 17, 2021 · Mt. Pleasant, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2006 to Feb 28, 2017 · Mount Pleasant, Sc
- U•• F•••••••• S••••••• I••• wirehouseNov 10, 1999 to Aug 25, 2006 · Mt. Pleasant, Sc
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 12, 2023, registered Jul 12, 2023 (0 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••left Feb 28, 2017, registered Feb 27, 2017 (-1 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 25, 2006, registered Aug 15, 2006 (-10 days) · Wirehouse to wirehouse
- M••••• J•••••• left T••••• A••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-07-12)Jul 12, 2023 · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address