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.
D••• J•••••••• W••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Feb 24, 2014 · Lincoln, Ne
- D••••••• B••• S••••••••• I••• no RAUMNov 21, 2013 to Feb 6, 2014 · Jacksonville, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to May 3, 2013 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerFeb 26, 2007 to Feb 13, 2013 · Memphis, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 29, 2003 to Feb 22, 2007 · Orlando, Fl
- A•••••• I••••••••• S•••••••• I••• unclassifiedMar 4, 2003 to Jul 29, 2003 · Orlando, Fl
- D••••••• B••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Feb 6, 2014, registered Feb 24, 2014 (18 days) · Other
- R•••••• J•••• • A••••••••• I••• to D••••••• B••• S••••••••• I•••left May 3, 2013, registered Nov 21, 2013 (202 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 22, 2007, registered Feb 26, 2007 (4 days) · corporate re-registration, not a move
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 29, 2003, registered Jul 29, 2003 (0 days) · corporate re-registration, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address