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.
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T•••• R••••• B••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Oct 14, 2024 · Franklin, Tn
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 17, 2022 to Nov 13, 2024 · Franklin, Tn
- B• R•••• W••••• M••••••••• formerFeb 13, 2015 to Dec 31, 2022 · Franklin, Tn
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 3, 2015 · Franklin, Tn
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Franklin, Tn
- M••••• S•••••• D• I••• unclassifiedJan 16, 2004 to Apr 2, 2007 · Nashville, Tn
- B• R•••• W••••• A•••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Nov 13, 2024, registered Oct 14, 2024 (-30 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 17, 2022 (-136 days) · corporate re-registration, not a move
- M••••• S•••••• to B• R•••• W••••• M•••••••••left Mar 3, 2015, registered Feb 13, 2015 (-18 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- T•••• R••••• B•••• left B• R•••• W••••• A•••••••• I••• for R••••• W• B•••• • C•• I••••••••• (registered 2024-10-14)Nov 13, 2024 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address