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•••• D••••• L••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 16, 2014 · Nashville, Tn
- C••••• I••••••••• S••••••• L•• formerJan 15, 2013 to Sep 30, 2013 · St Cloud, Mn
- M••••• S•••••• wirehouseOct 14, 2011 to Dec 3, 2012 · Nashville, Tn
- M••••• K••••• • C••••••• L•• formerAug 31, 2007 to Oct 24, 2011 · Nashville, Tn
- U•• F•••••••• S••••••• I••• wirehouseJan 9, 2004 to Sep 10, 2007 · Nashville, Tn
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 30, 2013, registered Jan 16, 2014 (108 days) · Other
- M••••• S•••••• to C••••• I••••••••• S••••••• L••left Dec 3, 2012, registered Jan 15, 2013 (43 days) · Other
- M••••• K••••• • C••••••• L•• to M••••• S••••••left Oct 24, 2011, registered Oct 14, 2011 (-10 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Sep 10, 2007, registered Aug 31, 2007 (-10 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address