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.
R•••• B•••
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince Oct 30, 2020 · Memphis, Tn
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliatedSep 28, 2016 to Jul 6, 2017 · Memphis, Tn
- D•••••• L••• S••••• L•• formerAug 8, 2013 to Sep 30, 2016 · Memphis, Tn
- S••••••• F•••••••• S•••••••• I••• formerFeb 20, 2009 to Dec 12, 2011 · Germantown, Tn
- L•••••• S•• I••••••••• A•••••••• L••••• to P••••••••• B•••••••• S•••••••• I•••left Jul 6, 2017, registered Oct 30, 2020 (1212 days) · Other
- D•••••• L••• S••••• L•• to L•••••• S•• I••••••••• A•••••••• L•••••left Sep 30, 2016, registered Sep 28, 2016 (-2 days) · Other
- S••••••• F•••••••• S•••••••• I••• to D•••••• L••• S••••• L••left Dec 12, 2011, registered Aug 8, 2013 (605 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address