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•••••• D•••• C•••••• W•••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 12, 2020 · Bristol, Tn
- C••• S••••• P••••••• BD affiliatedMar 3, 2017 to Jul 2, 2020 · Kingsport, Tn
- W•••• F•••• A••••••• wirehouseSep 6, 2013 to Nov 29, 2016 · Johnson City, Tn
- S•••••••• A••••••• L•• national BDNov 7, 2007 to Sep 9, 2013 · Johnson City, Tn
- C••• S••••• P••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 2, 2020, registered Jun 12, 2020 (-20 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C••• S••••• P•••••••left Nov 29, 2016, registered Mar 3, 2017 (94 days) · Other
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Sep 9, 2013, registered Sep 6, 2013 (-3 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address