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.
S•••••• L•• K•••
- L•• F•••••••• L•• BD affiliated currentsince Feb 21, 2023 · Salisbury, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDJul 22, 2011 to Feb 22, 2023 · Salisbury, Nc
- E••••• J•••• national BDFeb 13, 2007 to Jul 25, 2011 · Salisbury, Nc
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 22, 2023, registered Feb 21, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Jul 25, 2011, registered Jul 22, 2011 (-3 days) · Affiliated broker-dealer or bank to another
- S•••••• L•• K••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-02-21)Feb 22, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address