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••••• A• L••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 13, 2019 · Columbus, Oh
- S••••••• I••••••••• S•••••••• I••• formerNov 1, 2016 to Dec 31, 2016 · Atlanta, Ga
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 1, 2016 to Sep 10, 2019 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 9, 2016 · Jacksonville, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 11, 2003 to Oct 23, 2009 · Jacksonville, Fl
- T••••• A••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Sep 10, 2019, registered Sep 13, 2019 (3 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Nov 1, 2016 (-60 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• S•••••••• I•••left May 9, 2016, registered Nov 1, 2016 (176 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address