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.
P•••••• J••• Y••••
- L•••••• • Y••••• L•• state registered currentsince Jul 29, 2025 · Knoxville, Tn
- E•••••• A••••••• G••••• L•• BD affiliatedOct 18, 2023 to Jul 1, 2025 · Greenwood Village, Co
- L•••••• • Y••••• L•• state registeredDec 5, 2012 to Jun 2, 2023 · Knoxville, Tn
- M••••• S•••••• wirehouseMay 26, 2010 to Aug 24, 2012 · Knoxville, Tn
- Y•••• C•••••• M••••••••• I••• unclassifiedMar 23, 2007 to May 31, 2010 · Powell, Tn
- Y•••• C•••••• M••••••••• unclassifiedSep 27, 2004 to Dec 31, 2004 · Knoxville, Tn
- E•••••• A••••••• G••••• L•• to L•••••• • Y••••• L••left Jul 1, 2025, registered Jul 29, 2025 (28 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•••••• • Y••••• L•• to E•••••• A••••••• G••••• L••left Jun 2, 2023, registered Oct 18, 2023 (138 days) · Other
- M••••• S•••••• to L•••••• • Y••••• L••left Aug 24, 2012, registered Dec 5, 2012 (103 days) · Wirehouse to a state-registered adviser
- Y•••• C•••••• M••••••••• I••• to M••••• S••••••left May 31, 2010, registered May 26, 2010 (-5 days) · Other
- Y•••• C•••••• M••••••••• to Y•••• C•••••• M••••••••• I•••left Dec 31, 2004, registered Mar 23, 2007 (812 days) · Other
- P•••••• J••• Y•••• left E•••••• A••••••• G••••• L•• for L•••••• • Y••••• L•• (registered 2025-07-29)Jul 1, 2025 · Advisor changed firm · fact
- P•••••• J••• Y•••• left L•••••• • Y••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-10-18)Jun 2, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address