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.
A•••••••• H•••••• M••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Maryville, Tn
- L•• F•••••••• L•• BD affiliatedOct 18, 2017 to Aug 28, 2020 · Knoxville, Tn
- I••••• F•••••••• C••••••••• formerJun 23, 2015 to Oct 18, 2017 · Knoxville, Tn
- S•••••• W••••• P•••••••• L•• BD affiliatedMay 3, 2012 to Oct 1, 2013 · Knoxville, Tn
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Jun 24, 2015 · Farragut, Tn
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 8, 2009 to Oct 11, 2011 · Knoxville, Tn
- M••••• S•••••• • C•• L•• unclassifiedJan 24, 2008 to Jun 30, 2008 · Knoxville, Tn
- S••••••• F•••••••• S•••••••• I••• formerSep 20, 2006 to Nov 30, 2007 · Knoxville, Tn
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 28, 2020, registered Mar 21, 2024 (1301 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Oct 18, 2017, registered Oct 18, 2017 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Jun 24, 2015, registered May 3, 2012 (-1147 days) · Other · moved with a team
- S•••••• W••••• P•••••••• L•• to I••••• F•••••••• C•••••••••left Oct 1, 2013, registered Jun 23, 2015 (630 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jun 30, 2008, registered Apr 8, 2009 (282 days) · Other
- S••••••• F•••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Nov 30, 2007, registered Jan 24, 2008 (55 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address