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.
E••• R••••• F•••••
- I•••••• W••••• L•• independent RIA currentsince Apr 9, 2024 · Mount Pleasant, Sc
- E••••••••• P•••••••• L•• formerFeb 1, 2019 to Sep 23, 2022 · Mt. Pleasant, Sc
- W•••• F•••• A••••••• wirehouseDec 1, 2016 to Jan 9, 2019 · Charleston, Sc
- M••••• S•••••• wirehouseFeb 3, 2014 to Dec 1, 2016 · Purchase, Ny
- E••••••••• P•••••••• L•• to I•••••• W••••• L••left Sep 23, 2022, registered Apr 9, 2024 (564 days) · RIA to RIA
- W•••• F•••• A••••••• to E••••••••• P•••••••• L••left Jan 9, 2019, registered Feb 1, 2019 (23 days) · Wirehouse to independent RIA
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 1, 2016, registered Dec 1, 2016 (0 days) · Wirehouse to wirehouse · moved with a team
- E••• R••••• F••••• left E••••••••• P•••••••• L•• for I•••••• W••••• L•• (registered 2024-04-09)Sep 23, 2022 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address