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.
R••••• E••••• H••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince May 10, 2024 · Memphis, Tn
- E•••• S••••••••• L•• BD affiliatedMar 21, 2012 to Apr 2, 2024 · Memphis, Tn
- B••••••••• L•• formerJan 5, 2011 to Dec 31, 2011 · El Paso, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Dec 23, 2010 · Memphis, Tn
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 22, 2008 to Jan 2, 2009 · Memphis, Tn
- E••••• J•••• national BDFeb 14, 2007 to Oct 30, 2007 · Memphis, Tn
- E•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Apr 2, 2024, registered May 10, 2024 (38 days) · Affiliated broker-dealer or bank to another
- B••••••••• L•• to E•••• S••••••••• L••left Dec 31, 2011, registered Mar 21, 2012 (81 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B••••••••• L••left Dec 23, 2010, registered Jan 5, 2011 (13 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to R•••••• J•••• F•••••••• S•••••••• I•••left Oct 30, 2007, registered Apr 22, 2008 (175 days) · Other
- R••••• E••••• H•••• left E•••• S••••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-05-10)Apr 2, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address