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•••• S••••• M•••••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Sep 19, 2016 · Loudon, Tn
- C•••••• G••••••• W••••• M••••••••• L•• formerMar 27, 2009 to Sep 23, 2016 · Loudon, Tn
- S•••••••• F••••••••• I••• formerNov 9, 2006 to Mar 31, 2009 · Phoenix, Az
- I•••••••• C•••••• A••••••• formerAug 9, 2004 to Oct 25, 2006 · Gilford, Nh
- E•••••• P•••• A••••••• I••• unclassifiedFeb 4, 2004 to Jun 3, 2005 · Knoxville, Tn
- C•••••• G••••••• W••••• M••••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Sep 23, 2016, registered Sep 19, 2016 (-4 days) · Other
- S•••••••• F••••••••• I••• to C•••••• G••••••• W••••• M••••••••• L••left Mar 31, 2009, registered Mar 27, 2009 (-4 days) · Other
- I•••••••• C•••••• A••••••• to S•••••••• F••••••••• I•••left Oct 25, 2006, registered Nov 9, 2006 (15 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Jun 3, 2005, registered Aug 9, 2004 (-298 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address