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••••• M••••••• P•••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Greenville, Sc
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Greenville, Sc
- S•••• • S••••••••• L•• formerMay 4, 2011 to Jan 2, 2013 · Greenville, Sc
- W•••• F•••• A••••••• wirehouseAug 27, 2009 to May 3, 2011 · Moore, Sc
- S••••••• I••••••••• S•••••••• I••• formerDec 14, 2007 to Aug 26, 2009 · Clinton, Sc
- M••••• S•••••• D• I••• unclassifiedAug 15, 2005 to Dec 21, 2005 · Palo Alto, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 11, 2002 to Aug 23, 2005 · San Francisco, Ca
- B••• O• A•••••• S••••••••• L•• unclassifiedOct 25, 2001 to Aug 15, 2002 · San Francisco, Ca
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 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
- W•••• F•••• A••••••• to S•••• • S••••••••• L••left May 3, 2011, registered May 4, 2011 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Aug 26, 2009, registered Aug 27, 2009 (1 days) · Other
- M••••• S•••••• D• I••• to S••••••• I••••••••• S•••••••• I•••left Dec 21, 2005, registered Dec 14, 2007 (723 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• D• I•••left Aug 23, 2005, registered Aug 15, 2005 (-8 days) · Other
- B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 15, 2002, registered Sep 11, 2002 (27 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address