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.
D••••• J••• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 18, 2014 · West Melbourne, Fl
- S•••••• S••••••••• I••• BD affiliatedMar 1, 2012 to Jan 24, 2014 · Chattanooga, Tn
- F•••• T•••••••• A••••••• S•••••••• I••• formerJul 16, 2008 to Feb 22, 2012 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• formerJun 27, 2008 to Feb 22, 2012 · Chattanooga, Tn
- S•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Jan 24, 2014, registered Feb 18, 2014 (25 days) · Other
- F•••• T•••••••• A••••••• S•••••••• I••• to S•••••• S••••••••• I•••left Feb 22, 2012, registered Mar 1, 2012 (8 days) · Other
- F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••left Feb 22, 2012, registered Jul 16, 2008 (-1316 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address