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•••• D•••• F•••••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Sep 11, 2023 · Dallas, Tx
- G••• L••• A•••••••• L•• independent RIASep 7, 2021 to Sep 8, 2023 · Celebration, Fl
- L•••• F••• A••••••• S••••••• BD affiliatedApr 16, 2015 to Oct 7, 2021 · Roanoke, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 15, 2004 to Nov 30, 2006 · Annapolis, Md
- S••••••• I••••••••• I••• formerAug 7, 2000 to Jul 2, 2003 · Roanoke, Va
- G••• L••• A•••••••• L•• to L•••• F••• A••••••• S•••••••left Sep 8, 2023, registered Sep 11, 2023 (3 days) · RIA to affiliated broker-dealer or bank
- L•••• F••• A••••••• S••••••• to G••• L••• A•••••••• L••left Oct 7, 2021, registered Sep 7, 2021 (-30 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•••• F••• A••••••• S•••••••left Nov 30, 2006, registered Apr 16, 2015 (3059 days) · Other
- S••••••• I••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 2, 2003, registered Jan 15, 2004 (197 days) · Other
- J•••• D•••• F••••••• left G••• L••• A•••••••• L•• for L•••• F••• A••••••• S••••••• (registered 2023-09-11)Sep 8, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address