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.
L••••• T••••• M•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 7, 2021 · Sumter, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 2, 2021 to Sep 14, 2021 · Sumter, Sc
- B••• S••••••••• L•• formerJan 2, 2013 to Mar 2, 2021 · Sumter, Sc
- S•••• • S••••••••• L•• formerMar 20, 2006 to Jan 2, 2013 · Richmond, Va
- T••••••• C•••••• M••••••••• L•• unclassifiedSep 6, 2005 to Mar 17, 2006 · Atlanta, Ga
- A• G• E•••••• • S•••• I••• unclassifiedMay 8, 2001 to Jun 23, 2005 · Sumter, Sc
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 14, 2021, registered Sep 7, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Mar 2, 2021, registered Mar 2, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- T••••••• C•••••• M••••••••• L•• to S•••• • S••••••••• L••left Mar 17, 2006, registered Mar 20, 2006 (3 days) · Other
- A• G• E•••••• • S•••• I••• to T••••••• C•••••• M••••••••• L••left Jun 23, 2005, registered Sep 6, 2005 (75 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address