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•••••• D•••• T••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 8, 2022 · Rehoboth Beach, De
- J••••• M••••••••• S•••• L•• BD affiliatedNov 2, 2017 to Aug 1, 2022 · Greenville, De
- M••••• S•••••• wirehouseMay 27, 2013 to Nov 3, 2017 · Rehoboth Beach, De
- J••••• M••••••••• S•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 1, 2022, registered Jul 8, 2022 (-24 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Nov 3, 2017, registered Nov 2, 2017 (-1 days) · Other · moved with a team
- J•••••• D•••• T•••••• left J••••• M••••••••• S•••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-07-08)Aug 1, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address