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.
- W•••• F•••• A••••••• wirehouse currentsince Dec 14, 2022 · Columbia, Sc
- W•••• F•••• A••••••• wirehouse currentsince Sep 4, 2018 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseDec 4, 2009 to Sep 4, 2018 · Lexington, Sc
- F•••• C••••••• A•••• M••••••••• I•• BD affiliatedMar 11, 2009 to Dec 15, 2009 · Raleigh, Nc
- O•••• F•• I••• formerJul 26, 2004 to Jun 15, 2007 · Lexington, Sc
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Sep 4, 2018, registered Sep 4, 2018 (0 days) · channel change inside one enterprise, not a move · moved with a team
- F•••• C••••••• A•••• M••••••••• I•• to W•••• F•••• A•••••••left Dec 15, 2009, registered Dec 4, 2009 (-11 days) · Other
- O•••• F•• I••• to F•••• C••••••• A•••• M••••••••• I••left Jun 15, 2007, registered Mar 11, 2009 (635 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address