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.
N••••• L• H•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Beaufort, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 23, 2014 to Jul 13, 2018 · Greenville, Sc
- S••••••• C•••••• M••••••••• L•• otherJan 19, 2012 to Jun 29, 2012 · Raleigh, Nc
- B••• A•••• M••••••••• I••• unclassifiedMay 18, 2010 to Oct 28, 2010 · Raleigh, 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
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- S••••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Jun 29, 2012, registered Jun 23, 2014 (724 days) · Other
- B••• A•••• M••••••••• I••• to S••••••• C•••••• M••••••••• L••left Oct 28, 2010, registered Jan 19, 2012 (448 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address