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•••• O•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 28, 2022 · Nashville, Tn
- M•• W••••• M••••••••• L•• state registeredJul 14, 2021 to Jan 3, 2022 · Fort Myers, Fl
- E••••• J•••• national BDDec 4, 2007 to Jul 13, 2021 · Plover, Wi
- M•• W••••• M••••••••• L•• to L•• F•••••••• L••left Jan 3, 2022, registered Jul 28, 2022 (206 days) · Other
- E••••• J•••• to M•• W••••• M••••••••• L••left Jul 13, 2021, registered Jul 14, 2021 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- J••••••••• M•••• O••• left M•• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2022-07-28)Jan 3, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address