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••••• J••• B••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2023 · San Diego, Ca
- T•••• A•••••••• L•• formerMay 29, 2009 to May 17, 2023 · Atlanta, Ga
- C••••••••• A•••••••• I•• formerJan 13, 2006 to May 29, 2009 · C•••••••••, Oh
- P••• A••••• S••••••••• L•• BD affiliatedAug 22, 2005 to Dec 31, 2005 · Plains, Pa
- T•••• A•••••••• L•• to L•• F•••••••• L••left May 17, 2023, registered May 15, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- C••••••••• A•••••••• I•• to T•••• A•••••••• L••left May 29, 2009, registered May 29, 2009 (0 days) · Other
- P••• A••••• S••••••••• L•• to C••••••••• A•••••••• I••left Dec 31, 2005, registered Jan 13, 2006 (13 days) · Other
- R••••• J••• B•••• left T•••• A•••••••• L•• for L•• F•••••••• L•• (registered 2023-05-15)May 17, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address