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.
D••••• L•• G••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 13, 2021 · Fairview, Tn
- U••• B•••••• I••••••••• I••• formerJun 28, 2013 to Aug 11, 2021 · Brentwood, Tn
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jul 3, 2013 · Nashville, Tn
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Feb 13, 2013 · Cookeville, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJun 8, 2006 to Feb 13, 2007 · Memphis, Tn
- M••••• S•••••• D• I••• unclassifiedJun 15, 2005 to Jun 7, 2006 · Nashville, Tn
- U••• B•••••• I••••••••• I••• to K••••• A••••••• S•••••••• L••left Aug 11, 2021, registered Sep 13, 2021 (33 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to U••• B•••••• I••••••••• I•••left Jul 3, 2013, registered Jun 28, 2013 (-5 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jun 7, 2006, registered Jun 8, 2006 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address