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•••••• H••••••• P••••
- S•••••• S••••••••• I••• BD affiliated currentsince Jun 7, 2016 · Savannah, Ga
- S••••••• I••••••••• S•••••••• I••• formerOct 3, 2012 to Dec 23, 2014 · Savannah, Ga
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Sep 7, 2012 · West Columbia, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 13, 2008 to Oct 11, 2011 · Aiken, Sc
- U•• F•••••••• S••••••• I••• wirehouseMar 15, 2005 to Oct 14, 2008 · Augusta, Ga
- P••••••••• E••••• G••••• L•• unclassifiedApr 7, 2003 to Jul 1, 2003 · Augusta, Ga
- W•••• F•••• A••••••• wirehouseJun 15, 2002 to Mar 14, 2005 · Hilton Head Island, Sc
- S••••••• I••••••••• S•••••••• I••• to S•••••• S••••••••• I•••left Dec 23, 2014, registered Jun 7, 2016 (532 days) · Other
- L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Sep 7, 2012, registered Oct 3, 2012 (26 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 14, 2008, registered Nov 13, 2008 (30 days) · Other
- W•••• F•••• A••••••• to P••••••••• E••••• G••••• L••left Mar 14, 2005, registered Apr 7, 2003 (-707 days) · Other
- P••••••••• E••••• G••••• L•• to U•• F•••••••• S••••••• I•••left Jul 1, 2003, registered Mar 15, 2005 (623 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address