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.
T••• L• R•••
- L•• F•••••••• L•• BD affiliated currentsince Apr 7, 2025 · Daleville, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2022 to Mar 28, 2025 · Roanoke, Va
- D•••••••• • C•••••• L•• BD affiliatedApr 30, 2015 to Apr 18, 2022 · Roanoke, Va
- L•• F•••••••• L•• BD affiliatedJun 4, 2013 to Dec 18, 2013 · Lake Mary, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 19, 2011 to Jun 17, 2013 · Deland, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 6, 2011 · Deland, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Deland, Fl
- M••••• S•••••• D• I••• unclassifiedJul 2, 2001 to Apr 2, 2007 · Deland, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Mar 28, 2025, registered Apr 7, 2025 (10 days) · Wirehouse to affiliated broker-dealer or bank
- D•••••••• • C•••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 18, 2022, registered Jun 2, 2022 (45 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to D•••••••• • C•••••• L••left Dec 18, 2013, registered Apr 30, 2015 (498 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Jun 17, 2013, registered Jun 4, 2013 (-13 days) · Other
- M••••• S•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 6, 2011, registered Sep 19, 2011 (13 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- T••• L• R••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2025-04-07)Mar 28, 2025 · Advisor changed firm · fact
- T••• L• R••• left D•••••••• • C•••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-06-02)Apr 18, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address