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.
- E••••• J•••• national BD currentsince Mar 15, 2023 · St. Louis, Mo
- M•• F•••••••• S•••••••• I••• BD affiliatedJan 21, 2022 to Feb 13, 2023 · Rock Island, Il
- B• R•••• W••••• M••••••••• formerFeb 19, 2013 to Sep 30, 2021 · Knoxville, Tn
- W•••• F•••• A••••••• wirehouseMar 1, 2012 to Feb 19, 2013 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerJan 23, 2004 to Feb 23, 2012 · Memphis, Tn
- M•• F•••••••• S•••••••• I••• to E••••• J••••left Feb 13, 2023, registered Mar 15, 2023 (30 days) · RIA to affiliated broker-dealer or bank
- B• R•••• W••••• M••••••••• to M•• F•••••••• S•••••••• I•••left Sep 30, 2021, registered Jan 21, 2022 (113 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to B• R•••• W••••• M•••••••••left Feb 19, 2013, registered Feb 19, 2013 (0 days) · Other
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Feb 23, 2012, registered Mar 1, 2012 (7 days) · Other
- M••• V••••• left M•• F•••••••• S•••••••• I••• for E••••• J•••• (registered 2023-03-15)Feb 13, 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address