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.
M•••••• C•• L•••••
- A••••••• W••••• M••••••••• P••••••• L•• independent RIA currentsince Aug 18, 2021 · Knoxville, Tn
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 28, 2017 to Dec 31, 2021 · Athens, Tn
- L•• F•••••••• L•• BD affiliatedJun 2, 2009 to Oct 2, 2017 · Etowah, Tn
- E••••• J•••• national BDNov 19, 2007 to Jun 2, 2009 · Etowah, Tn
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••• W••••• M••••••••• P••••••• L••left Dec 31, 2021, registered Aug 18, 2021 (-135 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 2, 2017, registered Sep 28, 2017 (-4 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Jun 2, 2009, registered Jun 2, 2009 (0 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