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••••• C••• M••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 22, 2018 · Memphis, Tn
- S••••••• BD affiliatedSep 15, 2011 to Dec 18, 2017 · Memphis, Tn
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Oct 11, 2011 · Germantown, Tn
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 19, 2010 to Jul 5, 2011 · Germantown, Tn
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 19, 2008 to Jul 14, 2009 · Brentwood, Tn
- S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 18, 2017, registered Jan 22, 2018 (35 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to S•••••••left Oct 11, 2011, registered Sep 15, 2011 (-26 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Jul 14, 2009, registered Mar 19, 2010 (248 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address