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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- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Apr 1, 2021 · Palm Beach Gardens, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2015 to Mar 19, 2021 · Clarksville, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDJul 13, 2012 to Oct 14, 2015 · Clarksville, Tn
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerFeb 23, 2009 to Jul 16, 2012 · Clarksville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 13, 2004 to Feb 20, 2009 · Clarksville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••• C••••••• A••••••• S••••••left Mar 19, 2021, registered Apr 1, 2021 (13 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 14, 2015, registered Nov 4, 2015 (21 days) · Affiliated broker-dealer or bank to wirehouse
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 16, 2012, registered Jul 13, 2012 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Feb 20, 2009, registered Feb 23, 2009 (3 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address