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.
A••••• A•• Z••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 2, 2021 · Greenville, Sc
- B••• S••••••••• L•• formerMay 20, 2015 to Feb 17, 2021 · Charlotte, Nc
- F•••• C••••••• A•••• M••••••••• I•• BD affiliatedOct 6, 2006 to May 20, 2015 · Greenville, Sc
- B••• A•••• M••••••••• I••• unclassifiedJan 7, 2005 to Feb 22, 2006 · Raleigh, Nc
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Nov 2, 2021 (258 days) · corporate re-registration, not a move
- F•••• C••••••• A•••• M••••••••• I•• to B••• S••••••••• L••left May 20, 2015, registered May 20, 2015 (0 days) · Other
- B••• A•••• M••••••••• I••• to F•••• C••••••• A•••• M••••••••• I••left Feb 22, 2006, registered Oct 6, 2006 (226 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