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•••• A••• B•••••••••
- F•••• C••••••• A•••• M••••••••• I•• BD affiliated currentsince Jan 2, 2018 · Columbia, Sc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince May 12, 2017 · Columbia, Sc
- F•••• C••••••• A•••• M••••••••• I•• BD affiliatedMar 20, 2013 to Dec 31, 2017 · Raleigh, Nc
- M••••• K••••• • C••••••• L•• formerJan 13, 2012 to Mar 31, 2012 · Columbia, Tn
- W•••• F•••• A••••••• wirehouseMay 12, 2011 to Dec 13, 2011 · Columbia, Sc
- F•••• C••••••• A•••• M••••••••• I•• to F•••• C••••••• I••••••• S•••••••• I•••left Dec 31, 2017, registered May 12, 2017 (-233 days) · Other · moved with a team
- M••••• K••••• • C••••••• L•• to F•••• C••••••• A•••• M••••••••• I••left Mar 31, 2012, registered Mar 20, 2013 (354 days) · Other
- W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••left Dec 13, 2011, registered Jan 13, 2012 (31 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address