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.
M•••••• P••• M••••
- S••••• M••••••••• independent RIA currentsince Oct 3, 2016 · North Little Rock, Ar
- C•••••• W••••• M••••••••• formerSep 13, 2012 to Apr 13, 2017 · Chattanooga, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 1, 2009 to Sep 17, 2012 · Chattanooga, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDJun 30, 2005 to Jun 1, 2009 · Chattanooga, Tn
- C•••••• W••••• M••••••••• to S••••• M•••••••••left Apr 13, 2017, registered Oct 3, 2016 (-192 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• W••••• M•••••••••left Sep 17, 2012, registered Sep 13, 2012 (-4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address