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.
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M•••••• D••• F•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 6, 2022 · Myrtle Beach, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jun 6, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Myrtle Beach, Sc
- S•••• • S••••••••• L•• formerSep 14, 2011 to Jan 2, 2013 · Myrtle Beach, Sc
- W•••• F•••• A••••••• wirehouseOct 31, 2005 to Sep 13, 2011 · Surfside Beach, Sc
- M••••• S•••••• D• I••• unclassifiedApr 8, 1998 to Nov 15, 2005 · Myrtle Beach, Sc
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 6, 2022, registered Jun 6, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse · 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
- W•••• F•••• A••••••• to S•••• • S••••••••• L••left Sep 13, 2011, registered Sep 14, 2011 (1 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Nov 15, 2005, registered Oct 31, 2005 (-15 days) · Other
- M•••••• D••• F••••• left T••••• A••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2022-06-06)Jun 6, 2022 · 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
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address