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.
D•••• L••• N•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 24, 2016 · Mt. Pleasant, Sc
- M••••••• F•••••••• G••••• I••• formerApr 21, 2014 to Jul 14, 2016 · Mt.Pleasant, Sc
- M•• F•••••••• S•••••••• I••• formerAug 16, 2011 to Apr 7, 2014 · Charleston, Sc
- L•• F•••••••• L•• BD affiliatedAug 22, 2008 to Aug 15, 2011 · Charleston, Sc
- O••• W••••• A•••••••• I••• formerSep 27, 2007 to Aug 5, 2008 · Dallas, Tx
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 5, 2005 to Oct 4, 2007 · Charleston, Sc
- M••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Jul 14, 2016, registered Jun 24, 2016 (-20 days) · Other
- M•• F•••••••• S•••••••• I••• to M••••••• F•••••••• G••••• I•••left Apr 7, 2014, registered Apr 21, 2014 (14 days) · Other
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Aug 15, 2011, registered Aug 16, 2011 (1 days) · Other
- O••• W••••• A•••••••• I••• to L•• F•••••••• L••left Aug 5, 2008, registered Aug 22, 2008 (17 days) · Other
- V••• F•••••••• A•••••••• I••• to O••• W••••• A•••••••• I•••left Oct 4, 2007, registered Sep 27, 2007 (-7 days) · Other
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address