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•••••• T••••••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Mar 20, 2023 · Greenville, Sc
- P•• W••••• M••••••••• BD affiliatedJun 22, 2015 to Nov 1, 2018 · Greenville, Sc
- C••••• I••••••••• A•••••••• L•• formerMar 7, 2013 to Apr 10, 2015 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 4, 2012 to Jun 14, 2012 · Greenville, Sc
- P•• W••••• M••••••••• to T• P•••••• C••••• W••••• L••left Nov 1, 2018, registered Mar 20, 2023 (1600 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A•••••••• L•• to P•• W••••• M•••••••••left Apr 10, 2015, registered Jun 22, 2015 (73 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• A•••••••• L••left Jun 14, 2012, registered Mar 7, 2013 (266 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address