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.
G••• L••• T•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 13, 2016 · Memphis, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 9, 2004 to Mar 6, 2009 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerApr 15, 2004 to Oct 13, 2004 · Memphis, Tn
- D••••••• B••• S••••••••• I••• no RAUMJun 6, 2001 to Jul 14, 2003 · Greenwich, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••left Mar 6, 2009, registered Sep 13, 2016 (2748 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 13, 2004, registered Dec 9, 2004 (57 days) · Other
- D••••••• B••• S••••••••• I••• to M••••• K••••• • C••••••• L••left Jul 14, 2003, registered Apr 15, 2004 (276 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address