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•••••• C••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · C••••••Ton, Sc
- M••••• K••••• • C••••••• L•• formerDec 3, 2010 to Feb 13, 2013 · C••••••Ton, Sc
- F•••• C••••••• A•••• M••••••••• I•• BD affiliatedNov 1, 2006 to Dec 16, 2010 · Raleigh, Nc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedMar 3, 2006 to Nov 1, 2006 · Daniel Island, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 5, 2002 to Mar 7, 2006 · C••••••Ton, Sc
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- F•••• C••••••• A•••• M••••••••• I•• to M••••• K••••• • C••••••• L••left Dec 16, 2010, registered Dec 3, 2010 (-13 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to F•••• C••••••• A•••• M••••••••• I••left Nov 1, 2006, registered Nov 1, 2006 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Mar 7, 2006, registered Mar 3, 2006 (-4 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address