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.
E••• M•••••• G••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Columbia, Sc
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Columbia, Sc
- B••• I••••••••• S•••••••• I••• formerMar 13, 2012 to Jan 2, 2018 · Charlotte, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 9, 2010 to Mar 14, 2012 · Irmo, Sc
- O•• A•••••••• L•• independent RIAAug 18, 2009 to Nov 2, 2010 · Bluffton, Sc
- S••••••• I••••••••• S•••••••• I••• formerDec 19, 2008 to Apr 17, 2009 · Greenville, Sc
- L•• F•••••••• L•• BD affiliatedSep 20, 2007 to Nov 3, 2008 · Columbia, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 15, 2005 to Sep 17, 2007 · Fort Mill, Sc
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B••• I••••••••• S•••••••• I•••left Mar 14, 2012, registered Mar 13, 2012 (-1 days) · Other
- O•• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 2, 2010, registered Nov 9, 2010 (7 days) · Other
- S••••••• I••••••••• S•••••••• I••• to O•• A•••••••• L••left Apr 17, 2009, registered Aug 18, 2009 (123 days) · Other
- L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Nov 3, 2008, registered Dec 19, 2008 (46 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Sep 17, 2007, registered Sep 20, 2007 (3 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address