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.
L•••• E•••••••• F••••••• K•••••
- E••••• J•••• national BD currentsince Sep 4, 2026 · Chattanooga, Tn
- M••••• S•••••• wirehouseNov 1, 2011 to Sep 7, 2026 · Chattanooga, Tn
- U•• F•••••••• S••••••• I••• wirehouseDec 18, 2007 to Jun 22, 2011 · Chattanooga, Tn
- M••••• S•••••• to E••••• J••••left Sep 7, 2026, registered Sep 4, 2026 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 22, 2011, registered Nov 1, 2011 (132 days) · Wirehouse to wirehouse
- L•••• E•••••••• F••••••• K••••• left M••••• S•••••• for E••••• J•••• (registered 2026-09-04)Sep 7, 2026 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address