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.
D••••• G••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Boiling Springs, Sc
- I••••• F•••••••• C••••••••• formerDec 8, 2015 to Feb 14, 2018 · Gaffney, Sc
- I••••••••• P••••••••• I••• formerDec 4, 2013 to Dec 1, 2015 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedJul 12, 2013 to Dec 23, 2013 · Spartanburg, Sc
- S•••••• W••••• P•••••••• L•• BD affiliatedMar 5, 2012 to Jul 11, 2013 · Spartanburg, Sc
- S••••••• I••••••••• S•••••••• I••• formerAug 17, 2010 to Feb 28, 2012 · Laurens, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 8, 2007 to Aug 4, 2010 · Anderson, Sc
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- I••••••••• P••••••••• I••• to I••••• F•••••••• C•••••••••left Dec 1, 2015, registered Dec 8, 2015 (7 days) · Other
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Dec 23, 2013, registered Dec 4, 2013 (-19 days) · Other
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Jul 11, 2013, registered Jul 12, 2013 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to S•••••• W••••• P•••••••• L••left Feb 28, 2012, registered Mar 5, 2012 (6 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to S••••••• I••••••••• S•••••••• I•••left Aug 4, 2010, registered Aug 17, 2010 (13 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address