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.
D••••• S•••• E••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Nov 13, 2023 · Knoxville, Tn
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 27, 2022 to Nov 13, 2023 · Knoxville, Tn
- B• R•••• W••••• M••••••••• formerOct 7, 2013 to Dec 31, 2022 · Memphis, Tn
- S••••• A••• A•••• M••••••••• I••• formerDec 9, 2011 to Oct 16, 2013 · Birmingham, Al
- A••••••• • S••••••••• I••••••••• formerMar 6, 2009 to Dec 9, 2011 · Knoxville, Tn
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 8, 2004 to Mar 5, 2009 · Knoxville, Tn
- B• R•••• W••••• A•••••••• I••• to P••••••• F•••••••• S•••••••• I•••left Nov 13, 2023, registered Nov 13, 2023 (0 days) · Affiliated broker-dealer or bank to another
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Jul 27, 2022 (-157 days) · corporate re-registration, not a move
- S••••• A••• A•••• M••••••••• I••• to B• R•••• W••••• M•••••••••left Oct 16, 2013, registered Oct 7, 2013 (-9 days) · Other
- A••••••• • S••••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••left Dec 9, 2011, registered Dec 9, 2011 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to A••••••• • S••••••••• I•••••••••left Mar 5, 2009, registered Mar 6, 2009 (1 days) · Other
- D••••• S•••• E•••••• left B• R•••• W••••• A•••••••• I••• for P••••••• F•••••••• S•••••••• I••• (registered 2023-11-13)Nov 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address