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••• C••••• F••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Nov 13, 2024 · Greenville, Sc
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 9, 2018 to Nov 22, 2024 · Greer, Sc
- R•••••• J•••• • A••••••••• I••• national BDSep 22, 1990 to Nov 9, 2018 · Greenville, Sc
- S•••••• N••••••• • C••••••• I••••••••• to K••••• P•••••• W••••• S•••••••• L••left Nov 22, 2024, registered Nov 13, 2024 (-9 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 9, 2018, registered Nov 9, 2018 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••• C••••• F•••• left S•••••• N••••••• • C••••••• I••••••••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2024-11-13)Nov 22, 2024 · 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address