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.
K•••••• W•••• B•••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 2, 2026 · Oak Ridge, Tn
- A••••• A•• P••••••• S••••••• BD affiliatedMar 11, 2013 to Jan 6, 2026 · Nashville, Tn
- U••• B•••••• I••••••••• I••• formerJun 25, 2012 to Feb 5, 2013 · Knoxville, Tn
- S•••••••• A••••••• L•• national BDJan 4, 2011 to Jun 27, 2012 · Knoxville, Tn
- L•• F•••••••• L•• BD affiliatedSep 11, 2009 to Nov 4, 2010 · Knoxville, Tn
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 13, 2005 to Nov 4, 2010 · Athens, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 22, 2004 to Jun 8, 2005 · Knoxville, Tn
- A••••• A•• P••••••• S••••••• to C••••••••• F•••••••• N••••••left Jan 6, 2026, registered Mar 2, 2026 (55 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to A••••• A•• P••••••• S•••••••left Feb 5, 2013, registered Mar 11, 2013 (34 days) · Other
- S•••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 27, 2012, registered Jun 25, 2012 (-2 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Nov 4, 2010, registered Sep 11, 2009 (-419 days) · Other
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Nov 4, 2010, registered Jan 4, 2011 (61 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•••• F•••••••• S••••••• G••••• I•••left Jun 8, 2005, registered Jun 13, 2005 (5 days) · Other
- K•••••• W•••• B••• left A••••• A•• P••••••• S••••••• for C••••••••• F•••••••• N•••••• (registered 2026-03-02)Jan 6, 2026 · 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