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.
A••••• A• D••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 14, 2014 · Charleston, Sc
- S••••••• P•••••• F••••••••• L•• formerSep 14, 2011 to May 16, 2014 · Charleston, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedDec 8, 2009 to Aug 16, 2011 · Charleston, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2006 to Aug 6, 2007 · Columbia, Sc
- S••••••• P•••••• F••••••••• L•• to L•• F•••••••• L••left May 16, 2014, registered May 14, 2014 (-2 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to S••••••• P•••••• F••••••••• L••left Aug 16, 2011, registered Sep 14, 2011 (29 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left Aug 6, 2007, registered Dec 8, 2009 (855 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address