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.
J•••• W•••••• R•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 30, 2020 · Monroe, Nc
- C••• B•••••••• S•••••••• I••• formerSep 26, 2017 to Sep 16, 2019 · Spartanburg, Sc
- P•••• S••••••••• L•• no RAUMJan 23, 2017 to Jul 28, 2017 · Columbia, Sc
- E••••• J•••• national BDFeb 3, 2015 to Nov 29, 2016 · Travelers Rest, Sc
- C••• B•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 16, 2019, registered Sep 30, 2020 (380 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••left Jul 28, 2017, registered Sep 26, 2017 (60 days) · Other
- E••••• J•••• to P•••• S••••••••• L••left Nov 29, 2016, registered Jan 23, 2017 (55 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address