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••• H•••••• B•••••
- A••••••• W••••• M••••••••• P••••••• L•• independent RIA currentsince Aug 18, 2021 · Alcoa, Tn
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 2, 2017 to Dec 31, 2021 · Knoxville, Tn
- L•• F•••••••• L•• BD affiliatedJun 25, 2015 to Jun 12, 2017 · Maryville, Tn
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••• W••••• M••••••••• P••••••• L••left Dec 31, 2021, registered Aug 18, 2021 (-135 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 12, 2017, registered Jun 2, 2017 (-10 days) · Other · moved with a team
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address