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.
N••••••• L•••• S•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 16, 2024 · Columbia, Sc
- W•••••• I••••••••• L•• independent RIAJan 16, 2024 to Aug 23, 2024 · Columbia, Sc
- P••• A••••• S••••••••• L•• BD affiliatedSep 7, 2023 to Dec 15, 2023 · Charlotte, Nc
- W•••••• I••••••••• L•• to C••••••••• F•••••••• N••••••left Aug 23, 2024, registered Jul 16, 2024 (-38 days) · RIA to affiliated broker-dealer or bank
- P••• A••••• S••••••••• L•• to W•••••• I••••••••• L••left Dec 15, 2023, registered Jan 16, 2024 (32 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• L•••• S••••• left W•••••• I••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-07-16)Aug 23, 2024 · Advisor changed firm · fact
- N••••••• L•••• S••••• left P••• A••••• S••••••••• L•• for W•••••• I••••••••• L•• (registered 2024-01-16)Dec 15, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address