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.
J•••• R•••• L•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 22, 2021 · Knoxville, Tn
- L•• F•••••••• L•• BD affiliatedFeb 21, 2019 to Jan 25, 2021 · Knoxville, Tn
- F•••• H•••••• A•••••••• I•• formerApr 4, 2016 to Feb 22, 2019 · Knoxville, Tn
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Mar 31, 2016 · Knoxville, Tn
- C••••• I••••••••• S••••••• L•• formerJan 11, 2013 to Jan 21, 2014 · St Cloud, Mn
- F•••• T•••••••• A••••••• S•••••••• I••• formerJul 8, 2010 to Dec 4, 2012 · Memphis, Tn
- F•••• H•••••• A•••••••• I•• formerNov 24, 2009 to Mar 30, 2012 · Chattanooga, Tn
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 25, 2021, registered Jan 22, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••• H•••••• A•••••••• I•• to L•• F•••••••• L••left Feb 22, 2019, registered Feb 21, 2019 (-1 days) · RIA to RIA · moved with a team
- C••••• I••••••••• A••••••• L•• to F•••• H•••••• A•••••••• I••left Mar 31, 2016, registered Apr 4, 2016 (4 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- F•••• T•••••••• A••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••left Dec 4, 2012, registered Jan 11, 2013 (38 days) · Other
- F•••• H•••••• A•••••••• I•• to F•••• T•••••••• A••••••• S•••••••• I•••left Mar 30, 2012, registered Jul 8, 2010 (-631 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address