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•• M•••
- I••••••••• W••••• C••••••• L•• i••••••••• wealth currentsince May 25, 2021 · Roanoke, Va
- L•••• F••• A••••••• S••••••• BD affiliatedFeb 4, 2015 to May 25, 2021 · Roanoke, Va
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthFeb 17, 2014 to Apr 30, 2015 · Roanoke, Va
- M•• F•••••••• S•••••••• I••• formerMay 14, 2013 to Sep 17, 2013 · Daleville, Va
- L•••• F••• A••••••• S••••••• to I••••••••• W••••• C••••••• L••left May 25, 2021, registered May 25, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I••••••••• A•••••• A•••••••• L•• to L•••• F••• A••••••• S•••••••left Apr 30, 2015, registered Feb 4, 2015 (-85 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to I••••••••• A•••••• A•••••••• L••left Sep 17, 2013, registered Feb 17, 2014 (153 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address