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.
D•••• E••••• T•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 16, 2012 · St. Petersburg, Fl
- M••••• K••••• • C••••••• L•• formerApr 28, 2010 to Feb 19, 2013 · Memphis, Tn
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 28, 2010 · Memphis, Tn
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 23, 2005 to Jun 1, 2009 · Memphis, Tn
- M••••• S•••••• D• I••• unclassifiedJan 7, 2004 to Mar 21, 2005 · Memphis, Tn
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 19, 2013, registered Aug 16, 2012 (-187 days) · corporate re-registration, not a move
- M••••• S•••••• to M••••• K••••• • C••••••• L••left Apr 28, 2010, registered Apr 28, 2010 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Mar 21, 2005, registered Mar 23, 2005 (2 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address