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.
- S•••• independent RIA currentsince Aug 13, 2026 · New York, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Feb 12, 2019 · Starkville, Ms
- C••••• I••••••••• S••••••• L•• formerMar 22, 2013 to Jan 21, 2014 · Starkville, Ms
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jun 9, 2011 · Starkville, Ms
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 21, 2008 to Jan 2, 2009 · Starkville, Ms
- C••••• I••••••••• A••••••• L•• to S••••left Feb 12, 2019, registered Aug 13, 2026 (2739 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• I••••••••• S••••••• L••left Jun 9, 2011, registered Mar 22, 2013 (652 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address