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.
B•••••• W•••• K••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 30, 2021 · Aiken, Sc
- C••• B•••••••• S•••••••• I••• formerAug 15, 2017 to Dec 1, 2021 · North Augusta, Sc
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 5, 2015 to Aug 1, 2017 · Martinez, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 21, 2011 to Jul 27, 2015 · Augusta, Ga
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 18, 2011 to May 23, 2011 · Howey In The Hills, Fl
- C••• B•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 1, 2021, registered Nov 30, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••left Aug 1, 2017, registered Aug 15, 2017 (14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Jul 27, 2015, registered Aug 5, 2015 (9 days) · Other
- T••••••• I••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2011, registered Jun 21, 2011 (29 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address