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.
J•••••• L• C••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 16, 2023 · Franklin, Tn
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 1, 2018 to Nov 16, 2023 · Franklin, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 6, 2006 to Oct 31, 2016 · Brentwood, Tn
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 28, 2006 to Aug 28, 2006 · Brentwood, Tn
- E•••••• S••••••• A•••••••• I••• unclassifiedNov 28, 2005 to Jan 27, 2006 · Brentwood, Tn
- L•• F•••••••• L•• BD affiliatedNov 28, 2005 to Feb 10, 2006 · Brentwood, Tn
- M••••• K••••• • C••••••• L•• formerJan 15, 2004 to Dec 2, 2004 · Nashville, Tn
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Nov 16, 2023, registered Nov 16, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Oct 31, 2016, registered Feb 1, 2018 (458 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 28, 2006, registered Sep 6, 2006 (9 days) · Other
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Feb 10, 2006, registered Mar 28, 2006 (46 days) · Other
- E•••••• S••••••• A•••••••• I••• to L•• F•••••••• L••left Jan 27, 2006, registered Nov 28, 2005 (-60 days) · Other
- M••••• K••••• • C••••••• L•• to E•••••• S••••••• A•••••••• I•••left Dec 2, 2004, registered Nov 28, 2005 (361 days) · Other
- J•••••• L• C•••• left F•••• T•••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-11-16)Nov 16, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address