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.
V•••••• L•••• C••••••
- E••••• J•••• national BD currentsince Aug 25, 2014 · Mcminnville, Tn
- L•• F•••••••• L•• BD affiliatedJul 23, 2014 to Jul 30, 2014 · Mcminnville, Tn
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jul 21, 2014 · Mcminnville, Tn
- C••••• I••••••••• S••••••• L•• formerJul 16, 2010 to Jan 21, 2014 · Mcminnville, Tn
- G•••• A••••••• A•••••••• I••• formerJul 28, 2008 to Jul 16, 2010 · Mc Minnville, Tn
- C••••• I••••••••• S••••••• L•• formerAug 29, 2007 to Dec 17, 2007 · Madison, Al
- L•• F•••••••• L•• to E••••• J••••left Jul 30, 2014, registered Aug 25, 2014 (26 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Jul 21, 2014, registered Jul 23, 2014 (2 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- G•••• A••••••• A•••••••• I••• to C••••• I••••••••• S••••••• L••left Jul 16, 2010, registered Jul 16, 2010 (0 days) · Other
- C••••• I••••••••• S••••••• L•• to G•••• A••••••• A•••••••• I•••left Dec 17, 2007, registered Jul 28, 2008 (224 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address