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.
M•••••• D• B•••
- O• I••••••••• M••••••••• C• BD affiliated currentsince May 8, 2018 · Blountville, Tn
- O• I••••••••• M••••••••• C• BD affiliatedAug 27, 2013 to Dec 31, 2018 · Bristol, Tn
- L•• F•••••••• L•• BD affiliatedJun 2, 2011 to Jul 16, 2013 · Kingsport, Tn
- G••• W••••• A•••••••• I••• formerJan 17, 2008 to Sep 6, 2013 · Kingsport, Tn
- O•••• F•• I••• formerJan 28, 2004 to Jul 6, 2007 · Memphis, Tn
- G••• W••••• A•••••••• I••• to L•• F•••••••• L••left Sep 6, 2013, registered Jun 2, 2011 (-827 days) · Other
- L•• F•••••••• L•• to O• I••••••••• M••••••••• C•left Jul 16, 2013, registered Aug 27, 2013 (42 days) · Other
- O•••• F•• I••• to G••• W••••• A•••••••• I•••left Jul 6, 2007, registered Jan 17, 2008 (195 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address