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.
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- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Pulaski, Tn
- C•••••••• F•••••••• G•••• A••••••• formerJun 1, 2023 to Feb 20, 2025 · Pulaski, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 12, 2016 to May 31, 2023 · Lawrenceburg, Tn
- S••••••• I••••••••• S•••••••• I••• formerMar 4, 2016 to Dec 31, 2016 · Pulaski, Tn
- P•• M•••••• A•••••• S••••••••• I••• formerJul 20, 2015 to Mar 1, 2016 · Muscle Shoals, Al
- L•• F•••••••• L•• BD affiliatedOct 10, 2014 to Nov 6, 2014 · Elkmont, Al
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left May 31, 2023, registered Jun 1, 2023 (1 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 12, 2016 (-110 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Mar 1, 2016, registered Mar 4, 2016 (3 days) · Other
- L•• F•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Nov 6, 2014, registered Jul 20, 2015 (256 days) · Other
- D•••• H••••••• left T••••• A••••••• S•••••••• I••• for C•••••••• F•••••••• G•••• A••••••• (registered 2023-06-01)May 31, 2023 · 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
- 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