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.
J•••• R••• C•••••••
- O•••• W•••••• I••• BD affiliated currentsince Feb 21, 2025 · Sumter, Sc
- L•• F•••••••• L•• BD affiliatedOct 21, 2021 to Feb 18, 2025 · Sumter, Sc
- E••••• J•••• national BDJun 16, 2017 to Oct 22, 2021 · Sumter, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 21, 2015 to Jun 20, 2017 · Camden, Sc
- E•••••••• A•••••••• L•• national BDDec 3, 2014 to Jul 9, 2015 · Charlotte, Nc
- B••• S••••••••• L•• formerApr 18, 2013 to Nov 25, 2014 · Sumter, Sc
- E•••••••• A•••••••• L•• national BDNov 15, 2011 to Apr 17, 2013 · Sumter, Sc
- L•• F•••••••• L•• to O•••• W•••••• I•••left Feb 18, 2025, registered Feb 21, 2025 (3 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to L•• F•••••••• L••left Oct 22, 2021, registered Oct 21, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jun 20, 2017, registered Jun 16, 2017 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2015, registered Aug 21, 2015 (43 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to E•••••••• A•••••••• L••left Nov 25, 2014, registered Dec 3, 2014 (8 days) · Other
- E•••••••• A•••••••• L•• to B••• S••••••••• L••left Apr 17, 2013, registered Apr 18, 2013 (1 days) · Other
- J•••• R••• C••••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2025-02-21)Feb 18, 2025 · 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
- 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