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•••• B•••• D••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jan 8, 2021 · Houston, Tx
- B••• S••••••••• L•• formerSep 18, 2018 to Jan 25, 2021 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedDec 18, 2014 to Sep 27, 2018 · Alum Creek, Wv
- R•••••• J•••• • A••••••••• I••• national BDOct 25, 2013 to Nov 3, 2014 · Huntington, Wv
- J••• M••••• S••••••••• L•• wirehouseJan 27, 2010 to May 15, 2012 · Huntington, Wv
- B••• I••••••••• S•••••••• I••• formerOct 12, 2006 to Oct 23, 2009 · Huntington, Wv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 25, 2001 to Sep 1, 2006 · Ashland, Ky
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Jan 25, 2021, registered Jan 8, 2021 (-17 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to B••• S••••••••• L••left Sep 27, 2018, registered Sep 18, 2018 (-9 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Nov 3, 2014, registered Dec 18, 2014 (45 days) · Other
- J••• M••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left May 15, 2012, registered Oct 25, 2013 (528 days) · Wirehouse to affiliated broker-dealer or bank
- B••• I••••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Oct 23, 2009, registered Jan 27, 2010 (96 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Sep 1, 2006, registered Oct 12, 2006 (41 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address