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•••• N•••••• C•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 4, 2025 · Charleston, Sc
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 20, 2023 to Mar 24, 2025 · Beaufort, Sc
- W•••• F•••• A••••••• wirehouseAug 2, 2019 to May 9, 2022 · Beaufort, Sc
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 24, 2025, registered Apr 4, 2025 (11 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left May 9, 2022, registered Mar 20, 2023 (315 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- L•••• N•••••• C••••• left T••••• A••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2025-04-04)Mar 24, 2025 · Advisor changed firm · fact
- L•••• N•••••• C••••• left W•••• F•••• A••••••• for T••••• A••••••• S•••••••• I••• (registered 2023-03-20)May 9, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address