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.
R•••• L••••••• P••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 1, 2022 · Madison, Ms
- K•••• C•••••• G••••• L•• state registeredJan 5, 2022 to Mar 30, 2022 · Jackson, Ms
- P••• A••••• S••••••••• L•• BD affiliatedMar 11, 2021 to Dec 21, 2021 · Ridgeland, Ms
- K•••• C•••••• G••••• L•• state registeredJan 29, 2020 to Dec 8, 2020 · Jackson, Ms
- K•••• C•••••• G••••• L•• state registeredJul 5, 2017 to Dec 31, 2019 · Jackson, Ms
- K••••• A•••••••• I••• BD affiliatedJun 30, 2015 to Jun 30, 2017 · Ridgeland, Ms
- B••••••••• F•••••••• G••••• I••• formerJun 23, 2010 to Jun 24, 2015 · Flowood, Ms
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 6, 2009 to Jun 21, 2010 · Flowood, Ms
- W••••••••• W••••• M••••••••• L•• independent RIADec 1, 2005 to Jan 13, 2009 · Mississippi, Ms
- K•••• C•••••• G••••• L•• to M•• I•••••••• S•••••••• L••left Mar 30, 2022, registered Jul 1, 2022 (93 days) · Other
- P••• A••••• S••••••••• L•• to K•••• C•••••• G••••• L••left Dec 21, 2021, registered Jan 5, 2022 (15 days) · Affiliated broker-dealer or bank to a state-registered adviser
- K•••• C•••••• G••••• L•• to P••• A••••• S••••••••• L••left Dec 8, 2020, registered Mar 11, 2021 (93 days) · Other
- K••••• A•••••••• I••• to K•••• C•••••• G••••• L••left Jun 30, 2017, registered Jul 5, 2017 (5 days) · Other · moved with a team
- B••••••••• F•••••••• G••••• I••• to K••••• A•••••••• I•••left Jun 24, 2015, registered Jun 30, 2015 (6 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B••••••••• F•••••••• G••••• I•••left Jun 21, 2010, registered Jun 23, 2010 (2 days) · Other
- W••••••••• W••••• M••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 13, 2009, registered Oct 6, 2009 (266 days) · Other
- R•••• L••••••• P•••••• left K•••• C•••••• G••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2022-07-01)Mar 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address