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.
A•••••• T••• J••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 13, 2026 · Knoxville, Tn
- L•• F•••••••• L•• BD affiliatedFeb 12, 2010 to Jul 29, 2026 · Erwin, Tn
- F•••• L••••• S••••••••• L•• unclassifiedAug 7, 2007 to Feb 11, 2010 · Morristown, Tn
- F•••• H•••••• A•••••••• I•• formerJun 18, 2004 to Apr 3, 2007 · Johnson City, Tn
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 29, 2026, registered Jul 13, 2026 (-16 days) · Affiliated broker-dealer or bank to another
- F•••• L••••• S••••••••• L•• to L•• F•••••••• L••left Feb 11, 2010, registered Feb 12, 2010 (1 days) · Other
- F•••• H•••••• A•••••••• I•• to F•••• L••••• S••••••••• L••left Apr 3, 2007, registered Aug 7, 2007 (126 days) · Other
- A•••••• T••• J•••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-07-13)Jul 29, 2026 · Advisor changed firm · fact
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