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.
M•••••• C••••••• C•••••
- D••• D••••••• • C•• independent RIA currentsince Oct 24, 2022 · Lexington, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Oct 24, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerApr 12, 2011 to Jan 2, 2018 · Orangeburg, Sc
- E••••• J•••• national BDJul 2, 2008 to Apr 6, 2011 · St Louis, Mo
- T••••• A••••••• S•••••••• I••• to D••• D••••••• • C••left Oct 24, 2022, registered Oct 24, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- 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
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Apr 6, 2011, registered Apr 12, 2011 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• C••••••• C••••• left T••••• A••••••• S•••••••• I••• for D••• D••••••• • C•• (registered 2022-10-24)Oct 24, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address