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•••••• M•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 15, 2021 · Duluth, Ga
- W•••• F•••• A••••••• wirehouseApr 27, 2015 to Feb 22, 2021 · Atlanta, Ga
- P•• W••••• M••••••••• BD affiliatedJan 14, 2013 to Apr 13, 2015 · Lawrenceville, Ga
- M••••• K••••• • C••••••• L•• formerOct 20, 2010 to Jul 23, 2012 · Miramar Beach, Fl
- T•••••••• A••••••• G••••• I••• BD affiliatedAug 23, 2010 to Sep 7, 2010 · Greensburg, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 18, 2009 to Aug 13, 2010 · Greenville, Sc
- C•• A•••••••• L•• unclassifiedJun 8, 2009 to Sep 17, 2009 · Raleigh, Nc
- S••••••• I••••••••• S•••••••• I••• formerJun 6, 2008 to Jun 15, 2009 · Clemson, Sc
- M••••• S•••••• • C•• L•• unclassifiedJun 11, 2007 to Jun 2, 2008 · Destin, Fl
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 22, 2021, registered Feb 15, 2021 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Apr 13, 2015, registered Apr 27, 2015 (14 days) · Other
- M••••• K••••• • C••••••• L•• to P•• W••••• M•••••••••left Jul 23, 2012, registered Jan 14, 2013 (175 days) · Other
- T•••••••• A••••••• G••••• I••• to M••••• K••••• • C••••••• L••left Sep 7, 2010, registered Oct 20, 2010 (43 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•••••••• A••••••• G••••• I•••left Aug 13, 2010, registered Aug 23, 2010 (10 days) · Other
- C•• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 17, 2009, registered Sep 18, 2009 (1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to C•• A•••••••• L••left Jun 15, 2009, registered Jun 8, 2009 (-7 days) · Other
- M••••• S•••••• • C•• L•• to S••••••• I••••••••• S•••••••• I•••left Jun 2, 2008, registered Jun 6, 2008 (4 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address