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.
E•••••••• L•• W•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Dec 3, 2021 · Brentwood, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Dec 4, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerAug 14, 2018 to Feb 17, 2021 · Nashville, Tn
- M•••••• A••••••• G•••• unclassifiedAug 24, 2017 to Dec 31, 2018 · Franklin, Tn
- W•••••• W••••• M••••••••• L•• independent RIAJun 22, 2016 to Jul 19, 2017 · Franklin, Tn
- W•••••• W••••• M••••••••• L•• formerSep 30, 2014 to Jun 22, 2016 · Franklin, Tn
- M•••••• A••••••• G•••• unclassifiedDec 5, 2005 to Mar 26, 2015 · Franklin, Tn
- E•••••• S••••••• A•••••••• I••• unclassifiedMar 2, 2004 to Nov 30, 2005 · Brentwood, Tn
- L•• F•••••••• L•• BD affiliatedJul 16, 1998 to Aug 27, 2018 · Brentwood, Tn
- T••••• A••••••• S•••••••• I••• to R••••••••• C•••••• M•••••••••left Dec 4, 2021, registered Dec 3, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- M•••••• A••••••• G•••• to B••• S••••••••• L••left Dec 31, 2018, registered Aug 14, 2018 (-139 days) · Other
- L•• F•••••••• L•• to E•••••• S••••••• A•••••••• I•••left Aug 27, 2018, registered Mar 2, 2004 (-5291 days) · Other
- W•••••• W••••• M••••••••• L•• to M•••••• A••••••• G••••left Jul 19, 2017, registered Aug 24, 2017 (36 days) · Other · moved with a team
- W•••••• W••••• M••••••••• L•• to W•••••• W••••• M••••••••• L••left Jun 22, 2016, registered Jun 22, 2016 (0 days) · corporate re-registration, not a move
- M•••••• A••••••• G•••• to W•••••• W••••• M••••••••• L••left Mar 26, 2015, registered Sep 30, 2014 (-177 days) · Other · moved with a team
- E•••••• S••••••• A•••••••• I••• to M•••••• A••••••• G••••left Nov 30, 2005, registered Dec 5, 2005 (5 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address