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••••• R••••• C••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Sep 22, 2021 · Greenville, Sc
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Sep 23, 2021 · Greenville, Sc
- N•• A•••••• S•••••••• L•• formerAug 21, 2012 to Sep 22, 2016 · Greenville, Sc
- S••••••••• A•••••• A•••••••• I••• formerJun 29, 2005 to Aug 17, 2012 · Smpsonsville, Sc
- W•••• F•••• A••••••• wirehouseAug 10, 2004 to Jul 1, 2005 · Greenville, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 20, 1998 to Apr 13, 2004 · Greenville, Sc
- K••••• A••••••• S•••••••• L•• to B•••••••• A•••• M••••••••• L••left Sep 23, 2021, registered Sep 22, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to N•• A•••••• S•••••••• L••left Aug 17, 2012, registered Aug 21, 2012 (4 days) · Other
- W•••• F•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Jul 1, 2005, registered Jun 29, 2005 (-2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Apr 13, 2004, registered Aug 10, 2004 (119 days) · Affiliated broker-dealer or bank to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address