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.
B•••• J•••• G••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Fort Mill, Sc
- P•••• S••••••••• L•• no RAUMJun 11, 2021 to Nov 14, 2024 · Newark, Nj
- L•• F•••••••• L•• BD affiliatedMay 29, 2018 to Jun 25, 2021 · Fort Mill, Sc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to May 8, 2018 · Charlotte, Nc
- N•• E•••••• S••••••••• C••••••••• formerNov 14, 2012 to Jan 2, 2015 · Charlotte, Nc
- W••••• S••••• S••••••••• I••• formerNov 14, 2012 to Sep 5, 2013 · Basking Ridge, Nj
- T•••• S••••• S••••••••• I••• formerNov 14, 2012 to Sep 5, 2013 · Basking Ridge, Nj
- M•• F•••••••• S•••••••• I••• formerNov 14, 2012 to Mar 25, 2017 · Basking Ridge, Nj
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to P•••• S••••••••• L••left Jun 25, 2021, registered Jun 11, 2021 (-14 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left May 8, 2018, registered May 29, 2018 (21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Nov 14, 2012 (-779 days) · corporate re-registration, not a move
- W••••• S••••• S••••••••• I••• to T•••• S••••• S••••••••• I•••left Sep 5, 2013, registered Nov 14, 2012 (-295 days) · channel change inside one enterprise, not a move
- T•••• S••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Sep 5, 2013, registered Nov 14, 2012 (-295 days) · channel change inside one enterprise, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address