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.
M••••••• J••• F•••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 3, 2022 · Chatham, Il
- P•••••••• S••••••••• I••• BD affiliatedJan 14, 2019 to Oct 5, 2022 · Springfield, Il
- M•• F•••••••• S•••••••• I••• BD affiliatedMar 19, 2007 to Jan 9, 2019 · Hokes Bluff, Al
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 31, 2005 · Anniston, Al
- P••••••••• E••••• G••••• L•• unclassifiedJun 26, 2001 to Jul 1, 2003 · Anniston, Al
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 5, 2022, registered Oct 3, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Jan 9, 2019, registered Jan 14, 2019 (5 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Jan 31, 2005, registered Mar 19, 2007 (777 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- M••••••• J••• F••••••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-10-03)Oct 5, 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