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•••• A••••• V••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 9, 2018 · Mauldin, Sc
- I•• A•••••••• L•• independent RIAAug 16, 2017 to Apr 25, 2018 · Mauldin, Sc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 27, 2014 to Aug 17, 2017 · Greenville, Sc
- E••••• J•••• national BDMar 16, 2010 to Aug 26, 2014 · Greenville, Sc
- I•• A•••••••• L•• to L•• F•••••••• L••left Apr 25, 2018, registered Mar 9, 2018 (-47 days) · RIA to RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I•• A•••••••• L••left Aug 17, 2017, registered Aug 16, 2017 (-1 days) · Other
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 26, 2014, registered Aug 27, 2014 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address