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.
W•••••• T•••• B••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Myrtle Beach, Sc
- S••••••••• A•••••• A•••••••• I••• formerJan 25, 2019 to Jun 14, 2024 · S Myrtle Beach, Sc
- Q•••••• A•••• M••••••••• I••• formerJul 14, 2016 to Jan 25, 2019 · Myrtle Beach, Sc
- U••••• C•••••• F•••••••• A••••••• independent RIAJul 17, 2015 to Jun 27, 2016 · Seneca, Sc
- I• A••••••• S•••••••• I••• formerOct 30, 2013 to Jul 21, 2015 · Bedminster, Nj
- W•••• F•••• A••••••• wirehouseJun 12, 2013 to Oct 29, 2013 · Anderson, Sc
- E••••• J•••• national BDJun 7, 2011 to Apr 30, 2013 · Charleston, Sc
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 25, 2019, registered Jan 25, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- U••••• C•••••• F•••••••• A••••••• to Q•••••• A•••• M••••••••• I•••left Jun 27, 2016, registered Jul 14, 2016 (17 days) · Other
- I• A••••••• S•••••••• I••• to U••••• C•••••• F•••••••• A•••••••left Jul 21, 2015, registered Jul 17, 2015 (-4 days) · Other · moved with a team
- W•••• F•••• A••••••• to I• A••••••• S•••••••• I•••left Oct 29, 2013, registered Oct 30, 2013 (1 days) · Other
- E••••• J•••• to W•••• F•••• A•••••••left Apr 30, 2013, registered Jun 12, 2013 (43 days) · Affiliated broker-dealer or bank to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address