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.
R•• L••• M••••••
- P•• A••••••• S•••••••• L•• independent RIA currentsince Nov 27, 2023 · Albany, Ny
- P•• A••••••• S•••••••• L•• independent RIASep 21, 2023 to Oct 9, 2023 · Nashville, Tn
- T•••• W••••• independent RIAJul 12, 2022 to Oct 24, 2023 · Nashville, Tn
- P•••••••• A••••••• national BDOct 1, 2020 to May 9, 2022 · Brentwood, Tn
- T•••• W••••• to P•• A••••••• S•••••••• L••left Oct 24, 2023, registered Sep 21, 2023 (-33 days) · RIA to RIA
- P•••••••• A••••••• to T•••• W•••••left May 9, 2022, registered Jul 12, 2022 (64 days) · Affiliated broker-dealer or bank to a newly registered adviser
- R•• L••• M•••••• left T•••• W••••• for P•• A••••••• S•••••••• L•• (registered 2023-09-21)Oct 24, 2023 · Advisor changed firm · fact
- R•• L••• M•••••• left P•••••••• A••••••• for T•••• W••••• (registered 2022-07-12)May 9, 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address