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••• S••••••••• A••••
- T•••••••• A••••••• G••••• I••• BD affiliated currentsince Aug 25, 2010 · Greensburg, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 5, 2009 to Aug 23, 2010 · Greenville, Sc
- M••••• K••••• • C••••••• L•• formerMar 3, 2006 to Sep 30, 2009 · Greenville, Sc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Mar 9, 2006 · Anderson, Sc
- N•• F•••••••• S•••••••• I••• unclassifiedJan 27, 2003 to Jan 3, 2005 · Anderson, Sc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•••••••• A••••••• G••••• I•••left Aug 23, 2010, registered Aug 25, 2010 (2 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 30, 2009, registered Oct 5, 2009 (5 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Mar 9, 2006, registered Mar 3, 2006 (-6 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address