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.
B•••• A••••• M••••••
- M••• A••••••• S•••••••• L•• independent RIA currentsince Jan 12, 2021 · Oak Ridge, Tn
- P•••••• A•••••• G••••• L•• BD affiliatedJun 16, 2014 to Jan 11, 2021 · Oak Ridge, Tn
- I••••• F•••••••• C••••••••• formerMay 16, 2012 to Jun 16, 2014 · Alcoa, Tn
- C••• B•••••••• S•••••••• I••• formerOct 4, 2005 to May 17, 2012 · Knoxville, Tn
- P•••••• A•••••• G••••• L•• to M••• A••••••• S•••••••• L••left Jan 11, 2021, registered Jan 12, 2021 (1 days) · Affiliated broker-dealer or bank to independent RIA
- I••••• F•••••••• C••••••••• to P•••••• A•••••• G••••• L••left Jun 16, 2014, registered Jun 16, 2014 (0 days) · Other
- C••• B•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left May 17, 2012, registered May 16, 2012 (-1 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address