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.
S•••••• J••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 2, 2023 · Greer, Sc
- S••••••• W••••• M••••••••• L•• state registered currentsince Jan 19, 2018 · Spartanburg, Sc
- S••••••• W••••• M••••••••• L•• state registeredOct 17, 2011 to Dec 31, 2017 · Spartanburg, Sc
- C••••• A•••••• N••••••• L•• formerJul 19, 2006 to May 2, 2023 · Sewickley, Pa
- I• A••••••• S•••••••• I••• formerJun 2, 2006 to Aug 21, 2006 · Bridgewater, Nj
- T•• I••••••••• C•••••• I••• unclassifiedSep 27, 2005 to Jun 2, 2006 · Spartanburg, Sc
- C••••• A•••••• N••••••• L•• to S••••••• W••••• M••••••••• L••left May 2, 2023, registered Oct 17, 2011 (-4215 days) · Affiliated broker-dealer or bank to a state-registered adviser
- I• A••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Aug 21, 2006, registered Jul 19, 2006 (-33 days) · Other
- T•• I••••••••• C•••••• I••• to I• A••••••• S•••••••• I•••left Jun 2, 2006, registered Jun 2, 2006 (0 days) · corporate re-registration, not a move
- S•••••• J••••• S••••••• left C••••• A•••••• N••••••• L•• for S••••••• W••••• M••••••••• L•• (registered 2011-10-17)May 2, 2023 · a•••••• firm change · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address