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.
R••••• L•••••• C••••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince May 15, 2017 · Columbia, Sc
- F•••• C••••••• A•••• M••••••••• I•• BD affiliatedOct 18, 2012 to Dec 7, 2020 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2009 to Feb 3, 2009 · Myrtle Beach, Sc
- W•••• F•••• A••••••• wirehouseJun 15, 2002 to Oct 16, 2012 · Dillon, Sc
- F•••• C••••••• A•••• M••••••••• I•• to F•••• C••••••• I••••••• S•••••••• I•••left Dec 7, 2020, registered May 15, 2017 (-1302 days) · Other · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 16, 2012, registered Feb 3, 2009 (-1351 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• C••••••• A•••• M••••••••• I••left Feb 3, 2009, registered Oct 18, 2012 (1353 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address