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.
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- O••••••• A••••••• S••••••• L•• independent RIA currentsince Jan 5, 2021 · Scotts Hill, Tn
- O••••••• A••••••• S••••••• L•• independent RIAFeb 5, 2020 to Dec 31, 2020 · Scotts Hill, Tn
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 6, 2020 · Scotts Hill, Tn
- M•• F•••••••• S•••••••• I••• formerMar 14, 2016 to Mar 25, 2017 · Memphis, Tn
- M•• F•••••••• S•••••••• I••• BD affiliatedFeb 9, 2007 to Mar 15, 2016 · Scotts Hill, Tn
- M•• I•••••••• S•••••••• L•• to O••••••• A••••••• S••••••• L••left Feb 6, 2020, registered Feb 5, 2020 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Mar 15, 2016, registered Mar 14, 2016 (-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