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•• W••••• E••••••
- E••••• J•••• national BD currentsince Jul 18, 2025 · Kingsport, Tn
- L•• F•••••••• L•• BD affiliatedJul 8, 2020 to Jul 24, 2025 · Johnson City, Tn
- S•• A•••••••• I••• formerAug 31, 2018 to Jul 6, 2020 · Kingsport, Tn
- S•• A•••••••• I••• formerJun 6, 2016 to Aug 24, 2018 · Kingsport, Tn
- L•• F•••••••• L•• BD affiliatedJan 6, 2015 to Jun 15, 2016 · Kingsport, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2013 to Jan 2, 2015 · Kingsport, Tn
- G••• W••••• A•••••••• I••• formerJan 17, 2008 to Sep 6, 2013 · Kingsport, Tn
- L•• F•••••••• L•• BD affiliatedJul 30, 2007 to Oct 23, 2013 · Kingsport, Tn
- C••• F•••••••• S•••••••• L••• formerOct 16, 2002 to Jun 19, 2007 · Clemmons, Nc
- L•• F•••••••• L•• to E••••• J••••left Jul 24, 2025, registered Jul 18, 2025 (-6 days) · Affiliated broker-dealer or bank to another
- S•• A•••••••• I••• to L•• F•••••••• L••left Jul 6, 2020, registered Jul 8, 2020 (2 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to S•• A•••••••• I•••left Jun 15, 2016, registered Jun 6, 2016 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 2, 2015, registered Jan 6, 2015 (4 days) · Other
- L•• F•••••••• L•• to G••• W••••• A•••••••• I•••left Oct 23, 2013, registered Jan 17, 2008 (-2106 days) · Other
- G••• W••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 6, 2013, registered Sep 9, 2013 (3 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Jun 19, 2007, registered Jul 30, 2007 (41 days) · Other
- A•• W••••• E•••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2025-07-18)Jul 24, 2025 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address