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.
A••• C••• B•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 5, 2018 · Memphis, Tn
- J••••• H•••••••• W••• L••••• L•• formerOct 9, 2008 to Dec 7, 2018 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerMar 18, 2004 to Oct 9, 2008 · Memphis, Tn
- J••••• H•••••••• W••• L••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Dec 7, 2018, registered Dec 5, 2018 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• K••••• • C••••••• L•• to J••••• H•••••••• W••• L••••• L••left Oct 9, 2008, registered Oct 9, 2008 (0 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address