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.
T••••• J••••• S••••
- E••••• J•••• national BD currentsince Jan 18, 2019 · Greenville, Sc
- L•• F•••••••• L•• BD affiliatedNov 29, 2018 to Jan 28, 2019 · Greenville, Sc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 9, 2016 to Dec 11, 2018 · Florence, Sc
- J••••• H•••••••• W••• L••••• L•• formerJul 23, 2015 to Feb 18, 2016 · Florence, Sc
- L•• F•••••••• L•• to E••••• J••••left Jan 28, 2019, registered Jan 18, 2019 (-10 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Dec 11, 2018, registered Nov 29, 2018 (-12 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• H•••••••• W••• L••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 18, 2016, registered Feb 9, 2016 (-9 days) · Other · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address