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••• P••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 30, 2025 · Mooresville, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedJan 24, 2025 to Mar 12, 2025 · Mooresville, Nc
- W•••• F•••• A••••••• wirehouseMar 18, 2023 to Jun 10, 2024 · St. Louis, Mo
- A••••• A•• P••••••• S••••••• to W•••• F•••• A•••••••left Mar 12, 2025, registered Apr 30, 2025 (49 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Jun 10, 2024, registered Jan 24, 2025 (228 days) · Wirehouse to affiliated broker-dealer or bank
- J•••• L••• P•••••• left A••••• A•• P••••••• S••••••• for W•••• F•••• A••••••• (registered 2025-04-30)Mar 12, 2025 · Advisor changed firm · fact
- J•••• L••• P•••••• left W•••• F•••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2025-01-24)Jun 10, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address