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.
J••••• D••• S•••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 13, 2016 · Mount Pleasant, Sc
- T• P•••••• C••••• W••••• L•• BD affiliatedApr 23, 2013 to Oct 16, 2015 · Charleston, Sc
- S••••••• I••••••••• S•••••••• I••• formerMay 15, 2008 to May 13, 2011 · Charleston, Sc
- B••• I••••••••• S•••••••• I••• formerJul 7, 2004 to Feb 8, 2008 · Charlotte, Nc
- T• P•••••• C••••• W••••• L•• to T••••• A••••••• S•••••••• I•••left Oct 16, 2015, registered Sep 13, 2016 (333 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T• P•••••• C••••• W••••• L••left May 13, 2011, registered Apr 23, 2013 (711 days) · Other
- B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Feb 8, 2008, registered May 15, 2008 (97 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address