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.
C•••••• L•••• R•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 4, 2024 · Lexington, Sc
- T••••••••• W••••• M••••••••• I••• independent RIAAug 21, 2015 to Aug 19, 2024 · Charlotte, Nc
- T••••••••• W••••• M••••••••• I••• to L•• F•••••••• L••left Aug 19, 2024, registered Sep 4, 2024 (16 days) · RIA to affiliated broker-dealer or bank
- C•••••• L•••• R••••••• added a SC registration at L•• F•••••••• L••Sep 14, 2026 · New state registration · fact
- C•••••• L•••• R••••••• left T••••••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2024-09-04)Aug 19, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address