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.
W••••• N••••• P••••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Feb 2, 2015 · Knoxville, Tn
- W••••••• F•••••••• S•••••••• I••• formerJun 9, 2004 to Feb 11, 2015 · Knoxville, Tn
- P•••••• C••••• S•••••••• L•• BD affiliatedApr 16, 2004 to Dec 14, 2005 · Louisville, Ky
- W••••••• F•••••••• S•••••••• I••• to G••••• W••••• M••••••••• I•••left Feb 11, 2015, registered Feb 2, 2015 (-9 days) · Other · moved with a team
- P•••••• C••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Dec 14, 2005, registered Jun 9, 2004 (-553 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address