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.
W••••• G• R••••• I•
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 3, 2020 · Brentwood, Tn
- F•••• T•••• S••••••••• I••• BD affiliatedMar 28, 2019 to Oct 22, 2020 · Nashville, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 10, 2016 to Mar 15, 2019 · Brentwood, Tn
- M••••• S•••••• D• I••• unclassifiedAug 29, 2003 to Nov 10, 2003 · Palm Beach, Fl
- F•••• T•••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Oct 22, 2020, registered Nov 3, 2020 (12 days) · Affiliated broker-dealer or bank to another · moved with a team
- T••••• A••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Mar 15, 2019, registered Mar 28, 2019 (13 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• D• I••• to T••••• A••••••• S•••••••• I•••left Nov 10, 2003, registered Nov 10, 2016 (4749 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