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.
A••••• P••••••• C••••••••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Jan 12, 2021 · Knoxville, Tn
- U••• B•••••• I••••••••• I••• formerSep 28, 2012 to Jan 8, 2021 · Maryville, Tn
- G•• S••••••••• I••• BD affiliatedNov 20, 2006 to Sep 28, 2012 · Alcoa, Tn
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJun 30, 2005 to Nov 24, 2006 · Alcoa, Tn
- U••• B•••••• I••••••••• I••• to G••••• W••••• M••••••••• I•••left Jan 8, 2021, registered Jan 12, 2021 (4 days) · Affiliated broker-dealer or bank to another
- G•• S••••••••• I••• to U••• B•••••• I••••••••• I•••left Sep 28, 2012, registered Sep 28, 2012 (0 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to G•• S••••••••• I•••left Nov 24, 2006, registered Nov 20, 2006 (-4 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address