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.
L•••• W• A•••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 10, 2021 · Columbia, Sc
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedJul 10, 2019 to Nov 6, 2020 · Columbia, Sc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 14, 2019 to Jul 9, 2019 · Columbia, Sc
- E••••• J•••• national BDNov 25, 2016 to Feb 14, 2019 · Columbia, Sc
- F•••• C••••••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 6, 2020, registered Feb 10, 2021 (96 days) · Affiliated broker-dealer or bank to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Jul 9, 2019, registered Jul 10, 2019 (1 days) · Other
- E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••left Feb 14, 2019, registered Mar 14, 2019 (28 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address