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.
L••••••• A••••• H•••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Jul 2, 2018 · Moore, Sc
- W••••••• F••••••••• L•• independent RIAAug 14, 2015 to Jul 5, 2018 · Moore, Sc
- S••••••• W••••• M••••••••• L•• state registeredOct 17, 2011 to Mar 26, 2015 · Spartanburg, Sc
- S••••••• W••••• M••••••••• L•• state registeredNov 4, 2009 to Dec 9, 2009 · Easton, Pa
- C••••• A•••••• N••••••• L•• formerOct 5, 2006 to Jun 24, 2015 · Sewickley, Pa
- W••••••• F••••••••• L•• to B•••••••• A•••• M••••••••• L••left Jul 5, 2018, registered Jul 2, 2018 (-3 days) · RIA to RIA
- C••••• A•••••• N••••••• L•• to S••••••• W••••• M••••••••• L••left Jun 24, 2015, registered Nov 4, 2009 (-2058 days) · Other
- S••••••• W••••• M••••••••• L•• to W••••••• F••••••••• L••left Mar 26, 2015, registered Aug 14, 2015 (141 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address