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.
G••• L••• G•••
- T•• A•••••••• I••• BD affiliated currentsince Jul 2, 2020 · Lafollette, Tn
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Jul 1, 2020 · Lafollette, Tn
- 1••• C•••••• M••••••••• C•••••• unclassifiedJul 12, 2005 to Aug 1, 2008 · Lafollette, Tn
- 1••• C•••••• M••••••••• C•••••• unclassifiedMar 10, 2004 to Jan 24, 2005 · Dublin, Oh
- N••••••••• S••••••••• L•• to T•• A•••••••• I•••left Jul 1, 2020, registered Jul 2, 2020 (1 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address