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.
S•• G••• A•••••••
- E••••• J•••• national BD currentsince Feb 22, 2024 · North Charleston, Sc
- P•••••••• S••••••••• I••• BD affiliatedJul 6, 2022 to Jan 24, 2024 · N Charleston, Sc
- P••••••••• S••••••••• C••••••••• independent RIAApr 12, 2022 to Jun 15, 2022 · Oviedo, Fl
- P•••••••• S••••••••• I••• to E••••• J••••left Jan 24, 2024, registered Feb 22, 2024 (29 days) · Affiliated broker-dealer or bank to another
- P••••••••• S••••••••• C••••••••• to P•••••••• S••••••••• I•••left Jun 15, 2022, registered Jul 6, 2022 (21 days) · RIA to affiliated broker-dealer or bank
- S•• G••• A••••••• left P•••••••• S••••••••• I••• for E••••• J•••• (registered 2024-02-22)Jan 24, 2024 · Advisor changed firm · fact
- S•• G••• A••••••• left P••••••••• S••••••••• C••••••••• for P•••••••• S••••••••• I••• (registered 2022-07-06)Jun 15, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address