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.
- M••••• S•••••• wirehouse currentsince Nov 20, 2020 · Memphis, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2008 to Nov 24, 2020 · Memphis, Tn
- U•• F•••••••• S••••••• I••• wirehouseSep 29, 2006 to Dec 26, 2008 · Memphis, Tn
- M•••••• I••••••••• G•••• independent RIAApr 21, 2004 to Feb 3, 2006 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerMar 18, 2004 to Apr 7, 2004 · Memphis, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Nov 24, 2020, registered Nov 20, 2020 (-4 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 26, 2008, registered Dec 10, 2008 (-16 days) · Wirehouse to wirehouse
- M•••••• I••••••••• G•••• to U•• F•••••••• S••••••• I•••left Feb 3, 2006, registered Sep 29, 2006 (238 days) · RIA to wirehouse
- M••••• K••••• • C••••••• L•• to M•••••• I••••••••• G••••left Apr 7, 2004, registered Apr 21, 2004 (14 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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address