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••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Nov 9, 2022 · Charlotte, Nc
- P••••••• C•••••• A••••••• C••••••••• formerFeb 24, 2021 to Oct 31, 2022 · Greenwood Village, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 13, 2020 to Dec 31, 2020 · Charlotte, Nc
- T• A••••••••• I••• formerJan 13, 2020 to Jan 11, 2021 · Charlotte, Nc
- V••••••• A•••••••• I••• BD affiliatedSep 11, 2014 to Nov 22, 2019 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 7, 2012 to Aug 19, 2014 · Columbia, Sc
- A••••• A•• P••••••• S••••••• BD affiliatedDec 11, 2006 to Jul 6, 2012 · Charlotte, Nc
- P••••••• C•••••• A••••••• C••••••••• to A••••• A•• P••••••• S•••••••left Oct 31, 2022, registered Nov 9, 2022 (9 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to P••••••• C•••••• A••••••• C•••••••••left Jan 11, 2021, registered Feb 24, 2021 (44 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jan 13, 2020 (-353 days) · corporate re-registration, not a move
- V••••••• A•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 22, 2019, registered Jan 13, 2020 (52 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••left Aug 19, 2014, registered Sep 11, 2014 (23 days) · Other
- A••••• A•• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2012, registered Aug 7, 2012 (32 days) · Other
- J••••• L•••• left P••••••• C•••••• A••••••• C••••••••• for A••••• A•• P••••••• S••••••• (registered 2022-11-09)Oct 31, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address