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.
S•••••• B••••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jul 6, 2022 · Greenville, Sc
- M•••••• A••••• S••••••••• L•• BD affiliatedMar 16, 2021 to Dec 23, 2021 · Greenville, Sc
- P••• A••••• S••••••••• L•• BD affiliatedOct 1, 2019 to Mar 16, 2021 · Greenville, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 6, 2014 to Sep 3, 2019 · Greenville, Sc
- U•• F•••••••• S••••••• I••• wirehouseJun 10, 2010 to Feb 24, 2014 · Greenville, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDJul 8, 2009 to Jul 14, 2009 · Greenville, Sc
- M•••••• A••••• S••••••••• L•• to T• P•••••• C••••• W••••• L••left Dec 23, 2021, registered Jul 6, 2022 (195 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to M•••••• A••••• S••••••••• L••left Mar 16, 2021, registered Mar 16, 2021 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• A••••• S••••••••• L••left Sep 3, 2019, registered Oct 1, 2019 (28 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2014, registered Mar 6, 2014 (10 days) · Wirehouse to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 14, 2009, registered Jun 10, 2010 (331 days) · Affiliated broker-dealer or bank to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address