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.
C••••••••• L••••••• C•••••
- H•••••• W••••• M••••••••• G••••• I••• independent RIA currentsince Jun 4, 2021 · Daniel Island, Sc
- R•••••• J•••• • A••••••••• I••• national BDFeb 24, 2012 to Aug 3, 2021 · Mt. Pleasant, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 28, 2006 to Feb 28, 2012 · Mount Pleasant, Sc
- R•••••• J•••• • A••••••••• I••• to H•••••• W••••• M••••••••• G••••• I•••left Aug 3, 2021, registered Jun 4, 2021 (-60 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 28, 2012, registered Feb 24, 2012 (-4 days) · Wirehouse to affiliated broker-dealer or bank
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address