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•••• C•••••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Aug 22, 2022 · Ocala, Fl
- M••••• S•••••• wirehouseNov 9, 2011 to Apr 11, 2012 · The Villages, Fl
- M••••• K••••• • C••••••• L•• formerMar 6, 2007 to Oct 31, 2011 · Gainesville, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJan 23, 2007 to Feb 20, 2007 · Memphis, Tn
- M••••• S•••••• to B• R•••• W••••• A•••••••• I•••left Apr 11, 2012, registered Aug 22, 2022 (3785 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• K••••• • C••••••• L•• to M••••• S••••••left Oct 31, 2011, registered Nov 9, 2011 (9 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 20, 2007, registered Mar 6, 2007 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address