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.
W•••••• B•••• A••••
- W••••••• W•••••• L•• state registered currentsince Jan 9, 2025 · West Columbia, Sc
- C••••• A•••••• N••••••• L•• formerSep 2, 2015 to Feb 21, 2023 · West Columbia, Sc
- M•• F•••••••• S•••••••• I••• formerFeb 18, 2014 to Aug 27, 2015 · Columbia, Sc
- C••••• A•••••• N••••••• L•• to W••••••• W•••••• L••left Feb 21, 2023, registered Jan 9, 2025 (688 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- M•• F•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Aug 27, 2015, registered Sep 2, 2015 (6 days) · Other
- W•••••• B•••• A•••• left C••••• A•••••• N••••••• L•• for W••••••• W•••••• L•• (registered 2025-01-09)Feb 21, 2023 · a•••••• firm change · 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address