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.
A••••• J•••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 15, 2021 · Memphis, Tn
- M••••• S•••••• wirehouseMar 12, 2015 to May 18, 2021 · Little Rock, Ar
- B• R•••• W••••• M••••••••• formerAug 26, 2013 to Feb 19, 2015 · Memphis, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 2, 2013 to Aug 27, 2013 · Memphis, Tn
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Feb 26, 2013 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerSep 21, 2010 to Feb 13, 2013 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerSep 29, 2008 to Jan 4, 2010 · Jackson, Tn
- M••••• S•••••• to L•• F•••••••• L••left May 18, 2021, registered Apr 15, 2021 (-33 days) · Wirehouse to affiliated broker-dealer or bank
- B• R•••• W••••• M••••••••• to M••••• S••••••left Feb 19, 2015, registered Mar 12, 2015 (21 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B• R•••• W••••• M•••••••••left Aug 27, 2013, registered Aug 26, 2013 (-1 days) · Other
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 26, 2013, registered Jul 2, 2013 (126 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address