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.
S•••• E••• W•••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Aug 19, 2022 · Mount Pleasant, Sc
- I•• A•••••••• L•• independent RIAApr 5, 2017 to Oct 13, 2022 · Mt. Pleasant, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 1, 2016 to Apr 3, 2017 · North Charleston, Sc
- S••••••• I••••••••• S•••••••• I••• formerJan 28, 2010 to Dec 31, 2016 · Charleston, Sc
- M••••• K••••• • C••••••• L•• formerMar 7, 2005 to Feb 2, 2010 · Charleston, Sc
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2000 to Mar 23, 2005 · Mt Pleasant, Sc
- I•• A•••••••• L•• to B•••••••• A•••• M••••••••• L••left Oct 13, 2022, registered Aug 19, 2022 (-55 days) · RIA to RIA
- T••••• A••••••• S•••••••• I••• to I•• A•••••••• L••left Apr 3, 2017, registered Apr 5, 2017 (2 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 1, 2016 (-121 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Feb 2, 2010, registered Jan 28, 2010 (-5 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Mar 23, 2005, registered Mar 7, 2005 (-16 days) · Other
- S•••• E••• W••• left I•• A•••••••• L•• for B•••••••• A•••• M••••••••• L•• (registered 2022-08-19)Oct 13, 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address