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.
R••••• E• L•••••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Jan 2, 2020 · Wheaton, Il
- S••••••••• A••••••• formerApr 10, 2019 to Jun 5, 2019 · Columbia, Sc
- S••••• I••••••••• M••••••••• L•• independent RIAJun 16, 2017 to Apr 9, 2019 · Columbia, Sc
- T• A••••••••• I••• formerJul 11, 2013 to Oct 3, 2016 · Columbia, Sc
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 18, 2013 to Oct 3, 2016 · Columbia, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 27, 2012 to Jun 11, 2013 · Columbia, Sc
- S••••••••• A••••••• to B••••••••• C•••••• M••••••••• L••left Jun 5, 2019, registered Jan 2, 2020 (211 days) · Other
- S••••• I••••••••• M••••••••• L•• to S••••••••• A•••••••left Apr 9, 2019, registered Apr 10, 2019 (1 days) · RIA to a newly registered adviser · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 3, 2016, registered Jul 11, 2013 (-1180 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S••••• I••••••••• M••••••••• L••left Oct 3, 2016, registered Jun 16, 2017 (256 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 11, 2013, registered Jun 18, 2013 (7 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address