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.
L••••••• L•• M••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 19, 2015 · Nashville, Tn
- S••••••• I••••••••• S•••••••• I••• formerNov 22, 2004 to Oct 23, 2015 · Nashville, Tn
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 27, 2004 to Nov 4, 2004 · Nashville, Tn
- P••••••••• unclassifiedMar 28, 2003 to Nov 1, 2004 · Nashville, Tn
- S••••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 23, 2015, registered Oct 19, 2015 (-4 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to S••••••• I••••••••• S•••••••• I•••left Nov 4, 2004, registered Nov 22, 2004 (18 days) · Other
- P••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 1, 2004, registered Oct 27, 2004 (-5 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address