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••• M••••••• L••••••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 31, 2023 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerMay 4, 2021 to Sep 1, 2023 · Phoenix, Az
- C• I••••••••• L•• independent RIANov 5, 2019 to Apr 20, 2021 · Auburn, In
- O•••• F•• I••• formerJun 25, 2007 to May 21, 2018 · Fort Wayne, In
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Aug 31, 2023 (-1 days) · corporate re-registration, not a move
- C• I••••••••• L•• to S•••••••• F••••••••• I•••left Apr 20, 2021, registered May 4, 2021 (14 days) · RIA to affiliated broker-dealer or bank
- O•••• F•• I••• to C• I••••••••• L••left May 21, 2018, registered Nov 5, 2019 (533 days) · Affiliated broker-dealer or bank to independent RIA
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address