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.
A•••••••• P•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Charleston, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 18, 2020 to Mar 31, 2025 · Mount Pleasant, Sc
- E••••• J•••• national BDOct 14, 2019 to Nov 19, 2020 · Brighton, Mi
- F••••• I••••••••• independent RIAOct 2, 2018 to Oct 29, 2019 · Plano, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 19, 2020, registered Dec 18, 2020 (29 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to E••••• J••••left Oct 29, 2019, registered Oct 14, 2019 (-15 days) · RIA to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address