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•••••• L• D•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 15, 2022 · Mount Pleasant, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedMay 18, 2018 to Nov 22, 2021 · Charleston, Sc
- W•••• F•••• A••••••• wirehouseJan 12, 2015 to May 22, 2018 · Charleston, Sc
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedJul 14, 2011 to Oct 9, 2013 · Charleston, Sc
- M••••• S•••••• wirehouseJun 8, 2009 to Jul 29, 2011 · Charleston, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 11, 2009 to Apr 3, 2009 · Mount Pleasant, Sc
- T••••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 22, 2021, registered Feb 15, 2022 (85 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left May 22, 2018, registered May 18, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Oct 9, 2013, registered Jan 12, 2015 (460 days) · Other
- M••••• S•••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Jul 29, 2011, registered Jul 14, 2011 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 3, 2009, registered Jun 8, 2009 (66 days) · Wirehouse to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address