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.
B•••••• D•••• C•••••
- A••••••• S••••••• N•••••• independent RIA currentsince Mar 14, 2016 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedMar 17, 2011 to Mar 4, 2016 · Hixson, Tn
- W•••• F•••• A••••••• wirehouseApr 16, 2009 to Mar 1, 2011 · Chattanooga, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 20, 2004 to Apr 13, 2009 · Chattanooga, Tn
- S••••••• I••••••••• S•••••••• I••• formerOct 31, 2001 to Sep 10, 2002 · Chattanooga, Tn
- L•• F•••••••• L•• to A••••••• S••••••• N••••••left Mar 4, 2016, registered Mar 14, 2016 (10 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 1, 2011, registered Mar 17, 2011 (16 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 13, 2009, registered Apr 16, 2009 (3 days) · Wirehouse to wirehouse
- S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 10, 2002, registered Jul 20, 2004 (679 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address