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.
L•••• D••• R•••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Oct 9, 2023 · Wheaton, Il
- H•••••• T••••••• • K•••• L•• independent RIAAug 16, 2023 to Oct 5, 2023 · Murfreesboro, Tn
- B••••••••• C•••••• M••••••••• L•• independent RIAJun 18, 2015 to Aug 29, 2023 · Murfreesboro, Tn
- A•••••••• C•••••• M••••••••• independent RIADec 5, 2011 to Jun 18, 2015 · Murfreesboro, Tn
- R•••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2010 to Nov 28, 2011 · K•••Wood, Mi
- I•••••••• A•••••••• L•• BD affiliatedJan 4, 2010 to Sep 17, 2010 · Murfreesboro, Tn
- R•••••• W••••• A•••••••• I••• independent RIAApr 10, 2008 to Jan 4, 2010 · Murfreesboro, Tn
- H•••••• T••••••• • K•••• L•• to B••••••••• C•••••• M••••••••• L••left Oct 5, 2023, registered Oct 9, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
- B••••••••• C•••••• M••••••••• L•• to H•••••• T••••••• • K•••• L••left Aug 29, 2023, registered Aug 16, 2023 (-13 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A•••••••• C•••••• M••••••••• to B••••••••• C•••••• M••••••••• L••left Jun 18, 2015, registered Jun 18, 2015 (0 days) · Other
- R•••• I••••••••• A••••••• L•• to A•••••••• C•••••• M•••••••••left Nov 28, 2011, registered Dec 5, 2011 (7 days) · Other
- I•••••••• A•••••••• L•• to R•••• I••••••••• A••••••• L••left Sep 17, 2010, registered Nov 12, 2010 (56 days) · Other
- R•••••• W••••• A•••••••• I••• to I•••••••• A•••••••• L••left Jan 4, 2010, registered Jan 4, 2010 (0 days) · Other
- L•••• D••• R••• left H•••••• T••••••• • K•••• L•• for B••••••••• C•••••• M••••••••• L•• (registered 2023-10-09)Oct 5, 2023 · Advisor changed firm · fact
- L•••• D••• R••• left B••••••••• C•••••• M••••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2023-08-16)Aug 29, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address