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.
E••••••••• P•••
- C•••••• S••••• • C••• I••• national BD currentsince Feb 27, 2023 · Mt. Pleasant, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 22, 2020 to Aug 2, 2022 · Mount Pleasant, Sc
- T• A••••••••• I••• formerJun 14, 2018 to Nov 24, 2020 · Greenville, Sc
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 14, 2018 to Nov 24, 2020 · Greenville, Sc
- S•••••••• A••••••• L•• national BDMay 3, 2016 to Jun 13, 2018 · Durham, Nc
- L•• F•••••••• L•• BD affiliatedJun 8, 2015 to Oct 7, 2015 · Matthews, Nc
- A•••••• C•••••• M••••••••• I••• independent RIAJul 23, 2014 to Jan 21, 2015 · Raleigh, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 1, 2011 to Feb 13, 2014 · Charlotte, Nc
- T• A••••••••• I••• formerMar 1, 2011 to Feb 13, 2014 · Charlotte, Nc
- E••••• J•••• national BDMay 27, 2009 to Sep 29, 2010 · St Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Aug 2, 2022, registered Feb 27, 2023 (209 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 24, 2020, registered Jun 14, 2018 (-894 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 24, 2020, registered Jun 14, 2018 (-894 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Jun 13, 2018, registered Jun 14, 2018 (1 days) · Other
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Oct 7, 2015, registered May 3, 2016 (209 days) · Other
- A•••••• C•••••• M••••••••• I••• to L•• F•••••••• L••left Jan 21, 2015, registered Jun 8, 2015 (138 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 13, 2014, registered Mar 1, 2011 (-1080 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to A•••••• C•••••• M••••••••• I•••left Feb 13, 2014, registered Jul 23, 2014 (160 days) · Other
- E••••• J•••• to T• A••••••••• I•••left Sep 29, 2010, registered Mar 1, 2011 (153 days) · Affiliated broker-dealer or bank to a newly registered adviser
- E••••••••• P••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2023-02-27)Aug 2, 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
- 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