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•••••• T••••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Chattanooga, Tn
- C•••••• G•••• • C• I•• formerMay 7, 2020 to Jul 10, 2025 · Syracuse, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 2, 2012 to Mar 13, 2020 · Chattanooga, Tn
- L•• F•••••••• L•• BD affiliatedSep 26, 2007 to Jul 30, 2012 · Chattanooga, Tn
- S••••••• I••••••••• S•••••••• I••• formerApr 27, 2005 to Oct 1, 2007 · Chattanooga, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJan 24, 2005 to Apr 11, 2005 · Chattanooga, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 27, 1999 to Jul 29, 2004 · Cleveland, Tn
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••• G•••• • C• I••left Mar 13, 2020, registered May 7, 2020 (55 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 30, 2012, registered Jul 2, 2012 (-28 days) · Other
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 1, 2007, registered Sep 26, 2007 (-5 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to S••••••• I••••••••• S•••••••• I•••left Apr 11, 2005, registered Apr 27, 2005 (16 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 29, 2004, registered Jan 24, 2005 (179 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