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.
D•••• A• L•••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince May 15, 2017 · Memphis, Tn
- F•••• T•••••••• A••••••• S•••••••• I••• formerJun 25, 2009 to Oct 10, 2013 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• formerMay 6, 2009 to Apr 18, 2017 · Memphis, Tn
- S••••••• I••••••••• S•••••••• I••• formerApr 5, 2006 to Apr 30, 2009 · Memphis, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 2, 2004 to Apr 4, 2006 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••left Apr 18, 2017, registered Jun 25, 2009 (-2854 days) · Other
- F•••• T•••••••• A••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Oct 10, 2013, registered May 15, 2017 (1313 days) · Other
- S••••••• I••••••••• S•••••••• I••• to F•••• H•••••• A•••••••• I••left Apr 30, 2009, registered May 6, 2009 (6 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Apr 4, 2006, registered Apr 5, 2006 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address