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.
J•••• D• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Charleston, Sc
- M••••• C•••••• A•••••••• L•• independent RIANov 21, 2016 to Jul 13, 2018 · Mt Pleasant, Sc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 17, 2012 to Aug 5, 2016 · Charleston, Sc
- S••••••• F•••••••• S•••••••• I••• formerOct 4, 2011 to Nov 14, 2011 · Daniel Island, Sc
- M••••• C•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 13, 2018, registered Jan 1, 2025 (2364 days) · RIA to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to M••••• C•••••• A•••••••• L••left Aug 5, 2016, registered Nov 21, 2016 (108 days) · Other
- S••••••• F•••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Nov 14, 2011, registered Apr 17, 2012 (155 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