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.
H••••• R••••• J•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Indian Land, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 23, 2021 to Mar 31, 2025 · Indian Land, Sc
- P•••• S••••••••• L•• no RAUMJan 7, 2019 to Jun 14, 2021 · Charlotte, Nc
- F•••• C•••••• A••••••• S••••••• BD affiliatedJun 22, 2018 to Nov 15, 2018 · Charlotte, Nc
- E••••• J•••• national BDFeb 7, 2017 to Aug 2, 2017 · Indian Land, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 2015 to Nov 7, 2016 · Mount Pleasant, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDAug 31, 2009 to May 18, 2010 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 14, 2021, registered Aug 23, 2021 (70 days) · Affiliated broker-dealer or bank to another
- F•••• C•••••• A••••••• S••••••• to P•••• S••••••••• L••left Nov 15, 2018, registered Jan 7, 2019 (53 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to F•••• C•••••• A••••••• S•••••••left Aug 2, 2017, registered Jun 22, 2018 (324 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Nov 7, 2016, registered Feb 7, 2017 (92 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 18, 2010, registered Jun 24, 2015 (1863 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address