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.
G•••••• S••• B•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 19, 2023 · Columbia, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jul 7, 2023 · Irmo, Sc
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Columbia, Sc
- B••• I••••••••• S•••••••• I••• formerNov 4, 2014 to Jan 2, 2018 · Columbia, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDMay 27, 2011 to Nov 14, 2014 · Columbia, Sc
- E•••••••• A•••••••• L•• national BDOct 27, 2005 to Jan 23, 2006 · Mt Pleasant, Sc
- T••••• A••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 7, 2023, registered Jul 19, 2023 (12 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B••• I••••••••• S•••••••• I•••left Nov 14, 2014, registered Nov 4, 2014 (-10 days) · Affiliated broker-dealer or bank to a newly registered adviser
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 23, 2006, registered May 27, 2011 (1950 days) · Affiliated broker-dealer or bank to another
- G•••••• S••• B••••• left T••••• A••••••• S•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-07-19)Jul 7, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address