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••• E•••••••• F•••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Mar 4, 2022 · Charlotte, Nc
- D•••••• F•••••••• D•••••• independent RIAJun 2, 2021 to Mar 17, 2022 · Columbia, Sc
- L•• F•••••••• L•• BD affiliatedMay 25, 2021 to Jul 7, 2021 · Columbia, Sc
- D•••••• F•••••••• D•••••• to C••••••• S••••••••• I•••left Mar 17, 2022, registered Mar 4, 2022 (-13 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to D•••••• F•••••••• D••••••left Jul 7, 2021, registered Jun 2, 2021 (-35 days) · Affiliated broker-dealer or bank to independent RIA
- L••• E•••••••• F••••••• left D•••••• F•••••••• D•••••• for C••••••• S••••••••• I••• (registered 2022-03-04)Mar 17, 2022 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address