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.
K••••••• B•• J••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Dec 1, 2022 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2014 to Nov 15, 2022 · Jacksonville, Fl
- D••••••• B••• S••••••••• I••• no RAUMAug 2, 2012 to Jan 27, 2014 · Jacksonville, Fl
- L•• F•••••••• L•• BD affiliatedMay 2, 2007 to Aug 23, 2010 · Fort Mill, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDNov 1, 2006 to Mar 12, 2007 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Nov 15, 2022, registered Dec 1, 2022 (16 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 27, 2014, registered Feb 12, 2014 (16 days) · Other
- L•• F•••••••• L•• to D••••••• B••• S••••••••• I•••left Aug 23, 2010, registered Aug 2, 2012 (710 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 12, 2007, registered May 2, 2007 (51 days) · Other
- K••••••• B•• J•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••••• G••••• M•••••• I••• (registered 2022-12-01)Nov 15, 2022 · 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