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.
P••••• B•••• S••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Mar 4, 2015 · Columbia, Sc
- N••••••••• S••••••••• L•• no RAUMJun 28, 2012 to Apr 5, 2013 · Lexington, Sc
- C• W••••• M••••••••• L•• independent RIAOct 3, 2011 to May 16, 2012 · Schaumburg, Il
- W•••••• S••••••••• C••••••••• unclassifiedJul 15, 2011 to Sep 30, 2011 · Eden Prairie, Mn
- I••••• F•••••••• C••••••••• formerOct 21, 2009 to Jul 19, 2011 · Lexington, Sc
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Oct 26, 2009 · Lexington, Sc
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedAug 31, 2006 to Oct 31, 2008 · Gilbert, Sc
- W•••• F•••• A••••••• wirehouseMay 11, 2006 to Jul 18, 2006 · Leesville, Sc
- N••••••••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Apr 5, 2013, registered Mar 4, 2015 (698 days) · Other
- C• W••••• M••••••••• L•• to N••••••••• S••••••••• L••left May 16, 2012, registered Jun 28, 2012 (43 days) · Other
- W•••••• S••••••••• C••••••••• to C• W••••• M••••••••• L••left Sep 30, 2011, registered Oct 3, 2011 (3 days) · Other
- I••••• F•••••••• C••••••••• to W•••••• S••••••••• C•••••••••left Jul 19, 2011, registered Jul 15, 2011 (-4 days) · Other
- S•••••••• F••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 26, 2009, registered Oct 21, 2009 (-5 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to A••••••• G•••••• S••••••••• I•••••••••left Jul 18, 2006, registered Aug 31, 2006 (44 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address