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.
N••• E••••••
- P••••• C•••••• M••••••••• L•• state registered currentsince Nov 16, 2016 · Brentwood, Tn
- P•• A••••••• S•••••••• L•• independent RIAOct 5, 2010 to Oct 9, 2020 · Brentwood, Tn
- W••••••• F•••••••• S•••••••• I••• formerApr 20, 2009 to Oct 1, 2010 · Brentwood, Tn
- U••• B•••••• A•••••••• L•• BD affiliatedMar 1, 2006 to Jan 15, 2009 · Stockton, Ca
- P•• A••••••• S•••••••• L•• to P••••• C•••••• M••••••••• L••left Oct 9, 2020, registered Nov 16, 2016 (-1423 days) · RIA to a state-registered adviser · moved with a team
- W••••••• F•••••••• S•••••••• I••• to P•• A••••••• S•••••••• L••left Oct 1, 2010, registered Oct 5, 2010 (4 days) · Other
- U••• B•••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jan 15, 2009, registered Apr 20, 2009 (95 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address