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.
M•••••• G•••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 2, 2022 · Pearl, Ms
- O•••• I••••••••• I••• BD affiliatedDec 2, 2013 to Nov 30, 2022 · Jackson, Ms
- B••••••••• I••••••••• S•••••••• I••• formerMay 1, 2012 to Dec 2, 2013 · Jackson, Ms
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to May 1, 2012 · Brandon, Ms
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 6, 2007 to Jan 2, 2009 · Magee, Ms
- T•• S•••••••• F•••••••• A••••••• BD affiliatedJan 5, 2007 to Feb 1, 2007 · Atlanta, Ga
- C••••• A••••••• L•• formerNov 1, 2004 to Jan 12, 2007 · Mendenhall, Ms
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 30, 2022, registered Dec 2, 2022 (2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B••••••••• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Dec 2, 2013, registered Dec 2, 2013 (0 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B••••••••• I••••••••• S•••••••• I•••left May 1, 2012, registered May 1, 2012 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- T•• S•••••••• F•••••••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Feb 1, 2007, registered Feb 6, 2007 (5 days) · Other
- C••••• A••••••• L•• to T•• S•••••••• F•••••••• A•••••••left Jan 12, 2007, registered Jan 5, 2007 (-7 days) · Other
- M•••••• G•••• C••••••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-12-02)Nov 30, 2022 · 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
- 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