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•••• L• B•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 8, 2023 · Baltimore, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Oct 10, 2023 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJul 15, 2014 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseApr 26, 2013 to Jun 18, 2014 · Baltimore, Md
- C••• R••••••••• P••• A••••••• S••••••• institutionalFeb 14, 2012 to Apr 19, 2013 · Columbia, Md
- M••••• S•••••• wirehouseAug 5, 2011 to Mar 2, 2012 · Hunt Valley, Md
- T••••• A••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Oct 10, 2023, registered Dec 8, 2023 (59 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jun 18, 2014, registered Jul 15, 2014 (27 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••• R••••••••• P••• A••••••• S••••••• to W•••• F•••• A•••••••left Apr 19, 2013, registered Apr 26, 2013 (7 days) · Other
- M••••• S•••••• to C••• R••••••••• P••• A••••••• S•••••••left Mar 2, 2012, registered Feb 14, 2012 (-17 days) · Other
- J•••• L• B••••••••• left T••••• A••••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-12-08)Oct 10, 2023 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address