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.
E•••• F•••••• M•••••
- T•••••••• A••••••• G••••• I••• BD affiliated currentsince Aug 23, 2010 · Greensburg, Pa
- N•••• A••••••• independent RIASep 1, 2011 to Jun 25, 2013 · Greenville, Sc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 18, 2009 to Aug 13, 2010 · Greenville, Sc
- C•• A•••••••• L•• unclassifiedSep 23, 2008 to Sep 17, 2009 · Raleigh, Nc
- S••••••• I••••••••• S•••••••• I••• formerJul 24, 2007 to Sep 17, 2008 · Spartanburg, Sc
- W•••• F•••• A••••••• wirehouseAug 24, 2000 to Jul 12, 2007 · Greenville, Sc
- N•••• A••••••• to no registered destinationleft Jun 25, 2013 · Departure, no registered destination
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•••••••• A••••••• G••••• I•••left Aug 13, 2010, registered Aug 23, 2010 (10 days) · Other
- C•• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 17, 2009, registered Sep 18, 2009 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to C•• A•••••••• L••left Sep 17, 2008, registered Sep 23, 2008 (6 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Jul 12, 2007, registered Jul 24, 2007 (12 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address