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••••• B•••• S•••••
- G••••••• P•••••• W••••• state registered currentsince May 31, 2022 · Ridgeland, Ms
- L•• F•••••••• L•• BD affiliatedMar 21, 2019 to Apr 28, 2022 · Memphis, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 6, 2016 to Oct 16, 2018 · Memphis, Tn
- P••••••• W••••• A••••••• formerJul 15, 2015 to May 16, 2016 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• formerAug 5, 2014 to Apr 29, 2015 · Memphis, Tn
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 25, 2013 to Jul 25, 2014 · Memphis, Tn
- L•• F•••••••• L•• to G••••••• P•••••• W•••••left Apr 28, 2022, registered May 31, 2022 (33 days) · RIA to a state-registered adviser
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Oct 16, 2018, registered Mar 21, 2019 (156 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P••••••• W••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 16, 2016, registered May 6, 2016 (-10 days) · Other
- F•••• H•••••• A•••••••• I•• to P••••••• W••••• A•••••••left Apr 29, 2015, registered Jul 15, 2015 (77 days) · Other
- M•• I•••••••• S•••••••• L•• to F•••• H•••••• A•••••••• I••left Jul 25, 2014, registered Aug 5, 2014 (11 days) · Other
- R••••• B•••• S••••• left L•• F•••••••• L•• for G••••••• P•••••• W••••• (registered 2022-05-31)Apr 28, 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address