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.
M•••••• L• M•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 3, 2022 · Roanoke, Va
- E•••••••• A•••••••• L•• national BDAug 31, 2022 to Sep 28, 2022 · Roanoke, Va
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedSep 5, 2014 to May 6, 2022 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseJan 3, 2012 to Sep 11, 2014 · Roanoke, Va
- M•• F•••••••• S•••••••• I••• formerMay 16, 2008 to Nov 30, 2011 · Roanoke, Va
- E••••• J•••• national BDMar 13, 2008 to May 13, 2008 · St Louis, Mo
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 28, 2022, registered Nov 3, 2022 (36 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• I••••••••• A••••••• S•••••••• L•• to E•••••••• A•••••••• L••left May 6, 2022, registered Aug 31, 2022 (117 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C•••••• I••••••••• A••••••• S•••••••• L••left Sep 11, 2014, registered Sep 5, 2014 (-6 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 30, 2011, registered Jan 3, 2012 (34 days) · Other
- E••••• J•••• to M•• F•••••••• S•••••••• I•••left May 13, 2008, registered May 16, 2008 (3 days) · Other
- M•••••• L• M••••• left E•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-03)Sep 28, 2022 · Advisor changed firm · fact
- M•••••• L• M••••• left C•••••• I••••••••• A••••••• S•••••••• L•• for E•••••••• A•••••••• L•• (registered 2022-08-31)May 6, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address