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.
C•••••• M••• F•••••
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Apr 11, 2023 · Ooltewah, Tn
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 4, 2013 to Mar 15, 2023 · Knoxville, Tn
- B••••••••• I••••••••• G••••• L•• independent RIANov 19, 2008 to Jan 31, 2013 · Chattanooga, Tn
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 15, 2006 to Oct 14, 2008 · Chattanooga, Tn
- F•••• H•••••• A•••••••• I•• formerAug 17, 2005 to May 3, 2006 · Chattanooga, Tn
- M••••• S•••••• D• I••• unclassifiedJan 27, 2004 to Jul 6, 2005 · Chattanooga, Tn
- V•••• F•••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Mar 15, 2023, registered Apr 11, 2023 (27 days) · Affiliated broker-dealer or bank to another
- B••••••••• I••••••••• G••••• L•• to V•••• F•••••••• A•••••••• I•••left Jan 31, 2013, registered Feb 4, 2013 (4 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to B••••••••• I••••••••• G••••• L••left Oct 14, 2008, registered Nov 19, 2008 (36 days) · Other
- F•••• H•••••• A•••••••• I•• to R•••••• J•••• F•••••••• S•••••••• I•••left May 3, 2006, registered May 15, 2006 (12 days) · Other
- M••••• S•••••• D• I••• to F•••• H•••••• A•••••••• I••left Jul 6, 2005, registered Aug 17, 2005 (42 days) · Other
- C•••••• M••• F••••• left V•••• F•••••••• A•••••••• I••• for V••• F•••••••• A•••••••• I••• (registered 2023-04-11)Mar 15, 2023 · 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
- 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