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.
L•••• B••• F•••
- E•• F•••••••• A••••••• independent RIA currentsince Dec 20, 2023 · Montpelier, Vt
- T••••• A••••••• S•••••••• I••• BD affiliatedJul 14, 2022 to Dec 11, 2023 · Murf•••Sboro, Tn
- L•• F•••••••• L•• BD affiliatedAug 26, 2014 to Jul 19, 2022 · Garland, Tx
- 1•• G••••• A••••••• I•• formerJan 25, 2013 to Jul 11, 2014 · Dallas, Tx
- O••••••••• S••••••••• I••• BD affiliatedNov 18, 2010 to Jan 10, 2012 · Indianapolis, In
- E•••••••• A•••••••• L•• national BDMar 3, 2004 to Nov 15, 2010 · Carmel, In
- T••••• A••••••• S•••••••• I••• to E•• F•••••••• A•••••••left Dec 11, 2023, registered Dec 20, 2023 (9 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to T••••• A••••••• S•••••••• I•••left Jul 19, 2022, registered Jul 14, 2022 (-5 days) · RIA to affiliated broker-dealer or bank
- 1•• G••••• A••••••• I•• to L•• F•••••••• L••left Jul 11, 2014, registered Aug 26, 2014 (46 days) · Other
- O••••••••• S••••••••• I••• to 1•• G••••• A••••••• I••left Jan 10, 2012, registered Jan 25, 2013 (381 days) · Other
- E•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••left Nov 15, 2010, registered Nov 18, 2010 (3 days) · Other
- L•••• B••• F••• left T••••• A••••••• S•••••••• I••• for E•• F•••••••• A••••••• (registered 2023-12-20)Dec 11, 2023 · Advisor changed firm · fact
- L•••• B••• F••• left L•• F•••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2022-07-14)Jul 19, 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address