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.
C••••••••• W•••• A•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 1, 2024 · Greeneville, Tn
- C••• L•• BD affiliatedJan 2, 2015 to Apr 24, 2020 · Kingsport, Tn
- E••••• J•••• national BDAug 4, 2009 to Dec 23, 2014 · Johnson City, Tn
- P•••• S••••••••• L•• no RAUMSep 12, 1999 to Aug 6, 2009 · Bedford Hts, Oh
- C••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 24, 2020, registered Oct 1, 2024 (1621 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to C••• L••left Dec 23, 2014, registered Jan 2, 2015 (10 days) · Other
- P•••• S••••••••• L•• to E••••• J••••left Aug 6, 2009, registered Aug 4, 2009 (-2 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address