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••• S•••••• M••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 22, 2018 · Columbia, Tn
- I••••••••• P••••••••• I••• formerApr 7, 2017 to Sep 24, 2018 · Columbia, Tn
- F•••• T•••• S••••••••• I••• BD affiliatedAug 16, 2010 to Apr 17, 2017 · Alpharetta, Ga
- S••••••• I••••••••• S•••••••• I••• formerSep 6, 2006 to Aug 23, 2010 · Nashville, Tn
- V••• F•••••••• P•••••••• L•• formerDec 8, 2004 to Aug 30, 2006 · Brentwood, Tn
- P••••••••• unclassifiedApr 25, 2003 to Oct 29, 2004 · Nashville, Tn
- U•• F•••••••• S••••••• I••• wirehouseMay 6, 2002 to Feb 21, 2003 · Montgomery, Al
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to I••••••••• P••••••••• I•••left Apr 17, 2017, registered Apr 7, 2017 (-10 days) · Other
- S••••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Aug 23, 2010, registered Aug 16, 2010 (-7 days) · Other
- V••• F•••••••• P•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Aug 30, 2006, registered Sep 6, 2006 (7 days) · Other
- P••••••••• to V••• F•••••••• P•••••••• L••left Oct 29, 2004, registered Dec 8, 2004 (40 days) · Other
- U•• F•••••••• S••••••• I••• to P•••••••••left Feb 21, 2003, registered Apr 25, 2003 (63 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address