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.
M•••••• A•••••••• R•••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Aug 17, 2023 · Mt Pleasant, Sc
- P•••• S••••••••• L•• no RAUMJul 24, 2023 to Aug 1, 2023 · Honolulu, Hi
- P•••••••• S••••••••• I••• BD affiliatedFeb 8, 2021 to Mar 29, 2023 · Mt Pleasant, Sc
- P•••• S••••••••• L•• to P•••••••• S••••••••• I•••left Aug 1, 2023, registered Aug 17, 2023 (16 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to P•••• S••••••••• L••left Mar 29, 2023, registered Jul 24, 2023 (117 days) · Affiliated broker-dealer or bank to another
- M•••••• A•••••••• R••••• left P•••• S••••••••• L•• for P•••••••• S••••••••• I••• (registered 2023-08-17)Aug 1, 2023 · Advisor changed firm · fact
- M•••••• A•••••••• R••••• left P•••••••• S••••••••• I••• for P•••• S••••••••• L•• (registered 2023-07-24)Mar 29, 2023 · Advisor changed firm · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address