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••••• J•• K•••••
- C•••••• S••••••••• M••••••••• I••• independent RIA currentsince Jan 25, 2019 · Anderson, Sc
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 13, 2009 to Jan 30, 2019 · St. Louis, Mo
- S•••• • S••••••••• L•• formerMay 20, 2003 to Mar 23, 2009 · Anderson, Sc
- S•••••• N••••••• • C••••••• I••••••••• to C•••••• S••••••••• M••••••••• I•••left Jan 30, 2019, registered Jan 25, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••• • S••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 23, 2009, registered Mar 13, 2009 (-10 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address