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.
J••••• L••• M•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 12, 2021 · Tega Cay, Sc
- S••••••••• A•••••• A•••••••• I••• formerNov 13, 2013 to Nov 22, 2021 · Fort Mill, Sc
- H••••••••• G•••• F•••••••• A•••••••• L•• formerSep 1, 2009 to Nov 26, 2013 · Charlotte, Nc
- W••••••• F•••••••• S•••••••• I••• formerOct 10, 2008 to Sep 1, 2009 · Charlotte, Nc
- E•• F•••••••• A••••••• independent RIASep 23, 2002 to Oct 15, 2008 · Charlotte, Nc
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Nov 22, 2021, registered Nov 12, 2021 (-10 days) · Affiliated broker-dealer or bank to another
- H••••••••• G•••• F•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Nov 26, 2013, registered Nov 13, 2013 (-13 days) · Other
- W••••••• F•••••••• S•••••••• I••• to H••••••••• G•••• F•••••••• A•••••••• L••left Sep 1, 2009, registered Sep 1, 2009 (0 days) · Other
- E•• F•••••••• A••••••• to W••••••• F•••••••• S•••••••• I•••left Oct 15, 2008, registered Oct 10, 2008 (-5 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address