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•••• P• R•••••
- L•• E••••••••• L•• BD affiliated currentsince Jun 2, 2025 · Arlington, Tn
- L•• F•••••••• L•• BD affiliatedMar 2, 2023 to Jan 22, 2025 · Cordova, Tn
- P•••••••• S••••••••• I••• BD affiliatedFeb 23, 2018 to Mar 8, 2023 · Cordova, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 30, 2016 to Feb 13, 2018 · Memphis, Tn
- S••••••• I••••••••• S•••••••• I••• formerJan 7, 2013 to Dec 31, 2016 · Memphis, Tn
- M••••• S•••••• wirehouseOct 14, 2011 to Jan 30, 2013 · Memphis, Tn
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Oct 18, 2011 · Memphis, Tn
- N•• F•••••••• S•••••••• I••• unclassifiedJan 8, 2004 to Jan 3, 2005 · Memphis, Tn
- L•• F•••••••• L•• to L•• E••••••••• L••left Jan 22, 2025, registered Jun 2, 2025 (131 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Mar 8, 2023, registered Mar 2, 2023 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- T••••• A••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Feb 13, 2018, registered Feb 23, 2018 (10 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 30, 2016 (-123 days) · corporate re-registration, not a move
- M••••• S•••••• to S••••••• I••••••••• S•••••••• I•••left Jan 30, 2013, registered Jan 7, 2013 (-23 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M••••• S••••••left Oct 18, 2011, registered Oct 14, 2011 (-4 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- J•••• P• R••••• left L•• F•••••••• L•• for L•• E••••••••• L•• (registered 2025-06-02)Jan 22, 2025 · Advisor changed firm · fact
- J•••• P• R••••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-03-02)Mar 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