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•••• M•••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 3, 2024 · Oak Ridge, Tn
- T••••• L•• independent RIADec 19, 2016 to Oct 7, 2024 · Knoxville, Tn
- E•••••••• A•••••••• L•• national BDNov 2, 2016 to Dec 21, 2016 · Knoxville, Tn
- E••••• J•••• national BDFeb 27, 2012 to Oct 18, 2016 · Sparta, Tn
- T••••• L•• to L•• F•••••••• L••left Oct 7, 2024, registered Oct 3, 2024 (-4 days) · RIA to affiliated broker-dealer or bank · moved with a team
- E•••••••• A•••••••• L•• to T••••• L••left Dec 21, 2016, registered Dec 19, 2016 (-2 days) · Other
- E••••• J•••• to E•••••••• A•••••••• L••left Oct 18, 2016, registered Nov 2, 2016 (15 days) · Affiliated broker-dealer or bank to another
- J•••• M•••••• M••••• left T••••• L•• for L•• F•••••••• L•• (registered 2024-10-03)Oct 7, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address