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••••• J•••••• S••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Mar 2, 2021 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 28, 2018 to Jan 15, 2021 · Columbia, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDApr 24, 2017 to Dec 7, 2017 · Blythewood, Sc
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthSep 28, 2016 to Apr 7, 2017 · Matthews, Nc
- E•••••••• A••••••• formerFeb 10, 2016 to Apr 21, 2017 · Matthews, Nc
- F••••• W••••• P••••••• unclassifiedOct 22, 2013 to Sep 28, 2016 · Matthews, Nc
- A••••• A•• P••••••• S••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Jan 15, 2021, registered Mar 2, 2021 (46 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••left Dec 7, 2017, registered Feb 28, 2018 (83 days) · Other
- E•••••••• A••••••• to I••••••••• A•••••• A•••••••• L••left Apr 21, 2017, registered Sep 28, 2016 (-205 days) · Other
- I••••••••• A•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 7, 2017, registered Apr 24, 2017 (17 days) · Other
- F••••• W••••• P••••••• to E•••••••• A•••••••left Sep 28, 2016, registered Feb 10, 2016 (-231 days) · Other · moved with a team
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