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••••• R•••••• M••••
- P•••••• C••••• S•••••••• L•• BD affiliated currentsince Jan 28, 2022 · Louisville, Ky
- A•••••• W••••• M••••••••• L•• independent RIAJul 19, 2019 to Dec 17, 2021 · Mount Pleasant, Sc
- L•• F•••••••• L•• BD affiliatedMay 9, 2014 to Apr 23, 2019 · Fort Mill, Sc
- W•••• F•••• A••••••• wirehouseJan 19, 2006 to Apr 30, 2014 · Charlotte, Nc
- A•••••• W••••• M••••••••• L•• to P•••••• C••••• S•••••••• L••left Dec 17, 2021, registered Jan 28, 2022 (42 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to A•••••• W••••• M••••••••• L••left Apr 23, 2019, registered Jul 19, 2019 (87 days) · RIA to RIA
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 30, 2014, registered May 9, 2014 (9 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address