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.
R••••• D•••• W••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 15, 2014 · Knoxville, Tn
- S••••• A••• A•••• M••••••••• I••• formerDec 9, 2011 to Feb 7, 2014 · Birmingham, Al
- A••••••• • S••••••••• I••••••••• formerNov 14, 2005 to Dec 12, 2011 · Knoxville, Tn
- J••••• H•••••••• W••• L••••• L•• formerMar 30, 2004 to Sep 22, 2005 · Knoxville, Tn
- S••••• A••• A•••• M••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 7, 2014, registered Jan 15, 2014 (-23 days) · Other
- A••••••• • S••••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••left Dec 12, 2011, registered Dec 9, 2011 (-3 days) · Other
- J••••• H•••••••• W••• L••••• L•• to A••••••• • S••••••••• I•••••••••left Sep 22, 2005, registered Nov 14, 2005 (53 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address