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•••• E••••• G••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 20, 2022 · Franklin, Tn
- W•••• F•••• A••••••• wirehouseJan 9, 2012 to Apr 18, 2022 · Nashville, Tn
- J••••• H•••••••• W••• L••••• L•• formerMar 30, 2004 to Jan 10, 2012 · Nashville, Tn
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 18, 2022, registered Apr 20, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• H•••••••• W••• L••••• L•• to W•••• F•••• A•••••••left Jan 10, 2012, registered Jan 9, 2012 (-1 days) · Other
- L•••• E••••• G•• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-20)Apr 18, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address