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•••• N• W••••
- F•••• C••••••• A•••• M••••••••• I•• BD affiliated currentsince Oct 19, 2022 · Summerville, Sc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Sep 9, 2022 · Columbia, Sc
- C••• F•••••••• S•••••••• L••• formerAug 13, 2018 to Aug 31, 2022 · Summerville, Sc
- S••••••• P•••••• F••••••••• L•• formerJul 25, 2013 to Aug 14, 2018 · Oak Ridge, Nc
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 23, 2013 to Aug 12, 2013 · Huntington, Wv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2012 to Dec 18, 2012 · Huntington, Wv
- C••• F•••••••• S•••••••• L••• to F•••• C••••••• I••••••• S•••••••• I•••left Aug 31, 2022, registered Sep 9, 2022 (9 days) · Affiliated broker-dealer or bank to another
- S••••••• P•••••• F••••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 14, 2018, registered Aug 13, 2018 (-1 days) · channel change inside one enterprise, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••• P•••••• F••••••••• L••left Aug 12, 2013, registered Jul 25, 2013 (-18 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 18, 2012, registered May 23, 2013 (156 days) · Other
- J•••• N• W•••• left C••• F•••••••• S•••••••• L••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2022-09-09)Aug 31, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address