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.
K•••••• T••• B•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 16, 2012 · Kingsport, Tn
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Apr 12, 2012 · Johnson City, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Feb 20, 2007 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 4, 2003 to Jul 23, 2003 · Johnson Cit, Tn
- M••••• K••••• • C••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 12, 2012, registered Apr 16, 2012 (4 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 20, 2007, registered Feb 13, 2007 (-7 days) · corporate re-registration, not a move
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 23, 2003, registered Jul 10, 2003 (-13 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address