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.
M••• L••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 13, 2015 · Kingsport, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDNov 28, 2011 to Apr 16, 2015 · Kingsport, Tn
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Nov 29, 2011 · Bristol, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Feb 13, 2007 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedMay 12, 2003 to Jul 10, 2003 · Bristol, Tn
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 25, 2000 to Apr 24, 2003 · Abingdon, Va
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 16, 2015, registered Apr 13, 2015 (-3 days) · Other
- M••••• K••••• • C••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 29, 2011, registered Nov 28, 2011 (-1 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 10, 2003, registered Jul 10, 2003 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to A•••••• I••••••••• S•••••••• I•••left Apr 24, 2003, registered May 12, 2003 (18 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