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.
R•••••• P• D•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 16, 2018 · Fountain Inn, Sc
- C••••• A••••••• L•• formerOct 3, 2016 to Feb 26, 2018 · Simpsonville, Sc
- I•••••••• C•••••• A••••••• formerAug 21, 2012 to Oct 3, 2016 · Lynnfield, Ma
- S•••••••• F••••••••• I••• formerJan 29, 2009 to Aug 24, 2012 · Newington, Ct
- C••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 26, 2018, registered Feb 16, 2018 (-10 days) · Other
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• F••••••••• I••• to I•••••••• C•••••• A•••••••left Aug 24, 2012, registered Aug 21, 2012 (-3 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