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•••••• G• R•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 30, 2013 · Knoxville, Tn
- F•••• T•••••••• A••••••• S•••••••• I••• formerApr 20, 2012 to Jan 9, 2013 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• formerAug 31, 2011 to Mar 30, 2012 · Knoxville, Tn
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 16, 2009 to Aug 22, 2011 · Jackson, Tn
- U•• F•••••••• S••••••• I••• wirehouseJun 27, 2008 to Oct 16, 2009 · Jackson, Tn
- U•• F•••••••• S••••••• I••• wirehouseJun 6, 2006 to Oct 13, 2006 · Jackson, Tn
- F•••• T•••••••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 9, 2013, registered Jan 30, 2013 (21 days) · Other
- F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••left Mar 30, 2012, registered Apr 20, 2012 (21 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to F•••• H•••••• A•••••••• I••left Aug 22, 2011, registered Aug 31, 2011 (9 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 16, 2009, registered Oct 16, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address