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••••• W••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Franklin, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDOct 7, 2013 to Jul 13, 2018 · Franklin, Tn
- C••••• C••••••• L•• formerSep 26, 2012 to Sep 23, 2013 · Nashville, Tn
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 13, 2008 to Sep 5, 2012 · Brentwood, Tn
- T• A••••••••• I••• formerNov 13, 2008 to Sep 5, 2012 · Nashville, Tn
- S•••••••• A••••••• L•• national BDMar 23, 2004 to Oct 27, 2008 · Memphis, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C••••• C••••••• L•• to S•••••••• A••••••• L••left Sep 23, 2013, registered Oct 7, 2013 (14 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 5, 2012, registered Nov 13, 2008 (-1392 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 5, 2012, registered Nov 13, 2008 (-1392 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Oct 27, 2008, registered Nov 13, 2008 (17 days) · Affiliated broker-dealer or bank to a newly registered adviser
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