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.
K•••• L•••••••
- E••••• J•••• national BD currentsince Aug 30, 2017 · Wilmington, Nc
- L•• F•••••••• L•• BD affiliatedMay 13, 2014 to Aug 30, 2017 · Wilmington, Nc
- S••••••• P•••••• F••••••••• L•• formerSep 14, 2011 to May 16, 2014 · Wilmington, Nc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 4, 2011 to Aug 16, 2011 · Wilmington, Nc
- E•••••••• A•••••••• L•• national BDMar 16, 2009 to Jan 6, 2010 · Wilmington, Nc
- E•••••••• A•••••••• L•• national BDJun 2, 2003 to Jan 5, 2009 · San Diego, Ca
- L•• F•••••••• L•• to E••••• J••••left Aug 30, 2017, registered Aug 30, 2017 (0 days) · Other
- S••••••• P•••••• F••••••••• L•• to L•• F•••••••• L••left May 16, 2014, registered May 13, 2014 (-3 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to S••••••• P•••••• F••••••••• L••left Aug 16, 2011, registered Sep 14, 2011 (29 days) · Other
- E•••••••• A•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jan 6, 2010, registered Mar 4, 2011 (422 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address