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.
S•••••• L• S••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Feb 25, 2022 · Old Hickory, Tn
- P•••• S••••••••• L•• no RAUMAug 4, 2021 to Jan 25, 2022 · Hermitage, Tn
- W•••• F•••• A••••••• wirehouseJan 29, 2013 to Jul 27, 2021 · Brentwood, Tn
- U•• F•••••••• S••••••• I••• wirehouseOct 30, 2007 to Feb 4, 2013 · San Diego, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 31, 2003 to Oct 15, 2007 · San Diego, Ca
- P••••••••• E••••• G••••• L•• unclassifiedFeb 25, 2003 to Mar 28, 2003 · Sqan Diego, Ca
- P•••• S••••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jan 25, 2022, registered Feb 25, 2022 (31 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•••• S••••••••• L••left Jul 27, 2021, registered Aug 4, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 4, 2013, registered Jan 29, 2013 (-6 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Oct 15, 2007, registered Oct 30, 2007 (15 days) · Other
- P••••••••• E••••• G••••• L•• to A• G• E•••••• • S•••• I•••left Mar 28, 2003, registered Mar 31, 2003 (3 days) · Other
- S•••••• L• S•••••• left P•••• S••••••••• L•• for B• R•••• W••••• A•••••••• I••• (registered 2022-02-25)Jan 25, 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
- 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