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.
C••••••••• B•••• L•••••
- C••• S••••• P••••••• BD affiliated currentsince Apr 6, 2018 · Abingdon, Va
- L•• F•••••••• L•• BD affiliatedSep 20, 2016 to Apr 12, 2018 · Abingdon, Va
- O•••• I••••••••• I••• BD affiliatedJun 1, 2008 to Sep 22, 2016 · Sevierville, Tn
- B• I••••••••• L•• unclassifiedMay 18, 2005 to Jun 1, 2008 · Abingdon, Va
- L•• F•••••••• L•• to C••• S••••• P•••••••left Apr 12, 2018, registered Apr 6, 2018 (-6 days) · RIA to affiliated broker-dealer or bank
- O•••• I••••••••• I••• to L•• F•••••••• L••left Sep 22, 2016, registered Sep 20, 2016 (-2 days) · Other
- B• I••••••••• L•• to O•••• I••••••••• I•••left Jun 1, 2008, registered Jun 1, 2008 (0 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
- 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