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•••• L•••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 12, 2014 · Fort Mill, Sc
- B••• I••••••••• S•••••••• I••• formerJul 30, 2013 to Jul 18, 2014 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerOct 14, 2004 to Jan 17, 2013 · Orlando, Fl
- M••••• S•••••• D• I••• unclassifiedSep 14, 2001 to Feb 23, 2004 · Ocala, Fl
- B••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 18, 2014, registered Aug 12, 2014 (25 days) · Other
- M•• F•••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Jan 17, 2013, registered Jul 30, 2013 (194 days) · Other
- M••••• S•••••• D• I••• to M•• F•••••••• S•••••••• I•••left Feb 23, 2004, registered Oct 14, 2004 (234 days) · Other
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