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.
R•••••• Y• L••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 17, 2026 · St. Petersburg, Fl
- B••••••••• C•••••• M••••••••• L•• independent RIAMar 3, 2015 to Dec 31, 2017 · Memphis, Tn
- G••••••• A•••••••• L•• independent RIAAug 21, 2014 to Mar 12, 2015 · Germantown, Tn
- L•••••••• F••••••••• M••••••••• L•• independent RIAJul 1, 2013 to Oct 8, 2014 · Germantown, Tn
- A••••••• I••••••••• S••••••• formerAug 14, 2009 to Sep 22, 2009 · Memphis, Tn
- A•••• W••••• A•••••••• L•• BD affiliatedAug 14, 2009 to Jul 17, 2013 · Chicago, Il
- B••••••••• C•••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2017, registered Jul 17, 2026 (3120 days) · Other
- G••••••• A•••••••• L•• to B••••••••• C•••••• M••••••••• L••left Mar 12, 2015, registered Mar 3, 2015 (-9 days) · Other
- L•••••••• F••••••••• M••••••••• L•• to G••••••• A•••••••• L••left Oct 8, 2014, registered Aug 21, 2014 (-48 days) · Other
- A•••• W••••• A•••••••• L•• to L•••••••• F••••••••• M••••••••• L••left Jul 17, 2013, registered Jul 1, 2013 (-16 days) · Other
- A••••••• I••••••••• S••••••• to A•••• W••••• A•••••••• L••left Sep 22, 2009, registered Aug 14, 2009 (-39 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address