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.
S••••• C• J•••••••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Oct 21, 2016 · Knoxville, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDJan 22, 2009 to Oct 25, 2016 · Knoxville, Tn
- F•• S••••••••• C••••••••• formerFeb 7, 2008 to Dec 1, 2008 · Knoxville, Tn
- L•• F•••••••• L•• BD affiliatedJan 13, 2006 to Sep 1, 2006 · Knoxville, Tn
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 27, 2005 to Nov 25, 2005 · Knoxville, Tn
- J••••• H•••••••• W••• L••••• L•• formerMar 29, 2004 to May 16, 2005 · Knoxville, Tn
- A••••••••• F•••••••• S•••••••• L•• to G••••• W••••• M••••••••• I•••left Oct 25, 2016, registered Oct 21, 2016 (-4 days) · Other
- F•• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 1, 2008, registered Jan 22, 2009 (52 days) · Other
- L•• F•••••••• L•• to F•• S••••••••• C•••••••••left Sep 1, 2006, registered Feb 7, 2008 (524 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Nov 25, 2005, registered Jan 13, 2006 (49 days) · Other
- J••••• H•••••••• W••• L••••• L•• to C•••••••• G••••• M•••••• I•••left May 16, 2005, registered Apr 27, 2005 (-19 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address