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.
J•••••• M•• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 19, 2018 · Orlando, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedDec 4, 2015 to Sep 7, 2018 · Orlando, Fl
- M••••• K••••• • C••••••• L•• formerJun 26, 2007 to Aug 3, 2009 · Orlando, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to May 1, 2007 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 7, 2003 to Sep 29, 2003 · Southaven, Ms
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Sep 7, 2018, registered Oct 19, 2018 (42 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• K••••• • C••••••• L•• to I••••••••• F•••••••• P•••••••left Aug 3, 2009, registered Dec 4, 2015 (2314 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left May 1, 2007, registered Jun 26, 2007 (56 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Sep 29, 2003, registered Jul 10, 2003 (-81 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address