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.
F•••• E• R•••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 7, 2016 · Columbia, Sc
- B••• S••••••••• L•• formerJan 2, 2013 to Mar 22, 2016 · Columbia, Sc
- S•••• • S••••••••• L•• formerApr 28, 2008 to Jan 2, 2013 · Columbia, Sc
- B••• I••••••••• S•••••••• I••• formerAug 31, 2006 to Apr 8, 2008 · Florence, Sc
- W•••• F•••• A••••••• wirehouseJun 18, 2002 to Jun 5, 2003 · Columbia, Sc
- W••••••• S••••••••• I••• unclassifiedDec 28, 2001 to Jun 21, 2002 · Columbia, Sc
- B••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 22, 2016, registered Mar 7, 2016 (-15 days) · Other
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to S•••• • S••••••••• L••left Apr 8, 2008, registered Apr 28, 2008 (20 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jun 5, 2003, registered Aug 31, 2006 (1183 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 21, 2002, registered Jun 18, 2002 (-3 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address