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•••••• L•• S••••
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Feb 17, 2021 · Florence, Al
- A••••••••• F•••••••• S•••••••• L•• national BDNov 3, 2011 to Oct 24, 2016 · Minneapolis, Mn
- W•••••• • R••• formerApr 15, 2010 to Jun 23, 2010 · Alpharetta, Ga
- R•••••• J•••• • A••••••••• I••• national BDJul 14, 2004 to Mar 16, 2009 · Atlanta, Ga
- D••••••• B••• S••••••••• I••• no RAUMNov 18, 2003 to Jul 20, 2004 · Atlanta, Ga
- A••••••••• F•••••••• S•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Oct 24, 2016, registered Feb 17, 2021 (1577 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to A••••••••• F•••••••• S•••••••• L••left Jun 23, 2010, registered Nov 3, 2011 (498 days) · Other
- R•••••• J•••• • A••••••••• I••• to W•••••• • R•••left Mar 16, 2009, registered Apr 15, 2010 (395 days) · Other
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 20, 2004, registered Jul 14, 2004 (-6 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address