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•••• W••••••••• Y•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Lexington, Sc
- C••••••• W••••• M••••••••• L•• unclassifiedMar 2, 2006 to Dec 31, 2008 · Columbia, Sc
- W••••• S••••• S••••••••• I••• formerOct 27, 2004 to Sep 3, 2013 · Lexington, Sc
- W••••• S••••• A••••••• I•• unclassifiedJun 9, 2000 to May 25, 2005 · Columbia, Sc
- W••••• S••••• S••••••••• I••• to C••••••• W••••• M••••••••• L••left Sep 3, 2013, registered Mar 2, 2006 (-2742 days) · Other
- C••••••• W••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 31, 2008, registered Jun 29, 2023 (5293 days) · Other
- W••••• S••••• A••••••• I•• to W••••• S••••• S••••••••• I•••left May 25, 2005, registered Oct 27, 2004 (-210 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