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•••• J•••• L••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 27, 2012 · Miramar Beach, Fl
- M••••• K••••• • C••••••• L•• formerJan 23, 2007 to Nov 30, 2012 · Memphis, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedOct 12, 2005 to Feb 8, 2007 · Birmingham, Al
- P•••• S••••••••• L•• no RAUMAug 29, 2003 to May 14, 2004 · Orlando, Fl
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Nov 30, 2012, registered Nov 27, 2012 (-3 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 8, 2007, registered Jan 23, 2007 (-16 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to A•••••• I••••••••• M••••••••• C•••••• L••left May 14, 2004, registered Oct 12, 2005 (516 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address