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.
C••••••••• G••••• B•••••
- O•••••••• W••••• A••••••• state registered currentsince Apr 17, 2021 · Vero Beach, Fl
- C•••••• A••••••• BD affiliatedJan 11, 2017 to Dec 23, 2020 · Columbia, Sc
- V••••• C•••••• M••••••••• L•• independent RIAApr 13, 2015 to Nov 30, 2016 · Columbia, Sc
- R•••••• W••••• A•••••••• I••• independent RIAJan 14, 2015 to Mar 24, 2015 · Columbia, Sc
- C•••••• A••••••• to O•••••••• W••••• A•••••••left Dec 23, 2020, registered Apr 17, 2021 (115 days) · Affiliated broker-dealer or bank to a state-registered adviser
- V••••• C•••••• M••••••••• L•• to C•••••• A•••••••left Nov 30, 2016, registered Jan 11, 2017 (42 days) · Other
- R•••••• W••••• A•••••••• I••• to V••••• C•••••• M••••••••• L••left Mar 24, 2015, registered Apr 13, 2015 (20 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address