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.
D•••••• R••••• B•••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Jul 1, 2024 · St. Louis, Mo
- B••••••••• S•••••••• W•••••• L•• formerApr 10, 2019 to Nov 14, 2024 · Mount Pleasant, Sc
- M••• S••••• F•••••••• S••••••••• L•• formerMay 4, 2011 to Jul 29, 2019 · Mt. Pleasant, Sc
- T••••• F•••••••• G•••• I•• independent RIASep 30, 2009 to May 2, 2011 · New Providence, Nj
- B••••••••• S•••••••• W•••••• L•• to F•••• P••••••• W•••••• L••left Nov 14, 2024, registered Jul 1, 2024 (-136 days) · corporate re-registration, not a move
- M••• S••••• F•••••••• S••••••••• L•• to B••••••••• S•••••••• W•••••• L••left Jul 29, 2019, registered Apr 10, 2019 (-110 days) · RIA to affiliated broker-dealer or bank
- T••••• F•••••••• G•••• I•• to M••• S••••• F•••••••• S••••••••• L••left May 2, 2011, registered May 4, 2011 (2 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address