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.
R••••• B•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 18, 2019 · Columbia, Sc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedMay 12, 2017 to Sep 18, 2019 · Columbia, Sc
- F•••• C••••••• A•••• M••••••••• I•• BD affiliatedDec 20, 2011 to Sep 18, 2019 · Raleigh, Nc
- W•••••• • R••• formerJan 4, 2011 to Dec 22, 2011 · Columbia, Sc
- F•••• C••••••• A•••• M••••••••• I•• to F•••• C••••••• I••••••• S•••••••• I•••left Sep 18, 2019, registered May 12, 2017 (-859 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 18, 2019, registered Sep 18, 2019 (0 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• • R••• to F•••• C••••••• A•••• M••••••••• I••left Dec 22, 2011, registered Dec 20, 2011 (-2 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address