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•••••• W•••••• T••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Jan 7, 2025 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 26, 2018 to Sep 14, 2023 · San Antonio, Tx
- C•••••• W••••• M••••••••• formerMar 24, 2014 to Dec 15, 2017 · San Jose, Ca
- C•••••• A••••••• formerJan 19, 2012 to Mar 25, 2014 · Knoxville, Tn
- F•••• T•••••••• A••••••• S•••••••• I••• formerSep 3, 2008 to Jun 1, 2011 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• formerMar 12, 2004 to Jun 1, 2011 · Dandridge, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••••••• F•••••••• P•••••••left Sep 14, 2023, registered Jan 7, 2025 (481 days) · Affiliated broker-dealer or bank to another
- C•••••• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 15, 2017, registered Apr 26, 2018 (132 days) · Other
- C•••••• A••••••• to C•••••• W••••• M•••••••••left Mar 25, 2014, registered Mar 24, 2014 (-1 days) · Other
- F•••• T•••••••• A••••••• S•••••••• I••• to C•••••• A•••••••left Jun 1, 2011, registered Jan 19, 2012 (232 days) · Other
- F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••left Jun 1, 2011, registered Sep 3, 2008 (-1001 days) · Other
- D•••••• W•••••• T•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for I••••••••• F•••••••• P••••••• (registered 2025-01-07)Sep 14, 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address