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.
D••••• L••• L•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 9, 2017 · Easley, Sc
- L•• F•••••••• L•• BD affiliatedApr 5, 2016 to Nov 13, 2017 · Easley, Sc
- A••••••• I••••••••• S••••••••• G••••• L•• i••••••••• wealthJul 6, 2010 to Apr 5, 2016 · Eagle, Id
- S••••• F•••••••• G•••• I•• formerDec 21, 2009 to Jun 8, 2010 · Greenville, Sc
- C•••••••• F•••••••• G•••• A••••••• formerJul 2, 2008 to Dec 16, 2009 · Greenville, Sc
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 13, 2017, registered Nov 9, 2017 (-4 days) · Other · moved with a team
- A••••••• I••••••••• S••••••••• G••••• L•• to L•• F•••••••• L••left Apr 5, 2016, registered Apr 5, 2016 (0 days) · Other
- S••••• F•••••••• G•••• I•• to A••••••• I••••••••• S••••••••• G••••• L••left Jun 8, 2010, registered Jul 6, 2010 (28 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to S••••• F•••••••• G•••• I••left Dec 16, 2009, registered Dec 21, 2009 (5 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address