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.
W•••••• O••• S••••••••
- S••••••••• W••••• P••••••• independent RIA currentsince Dec 20, 2016 · Franklin, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 6, 2015 to Dec 20, 2016 · Franklin, Tn
- L•• F•••••••• L•• BD affiliatedApr 24, 2012 to Mar 9, 2015 · Pelham, Al
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 12, 2008 to May 1, 2012 · Birmingham, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••••• W••••• P•••••••left Dec 20, 2016, registered Dec 20, 2016 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 9, 2015, registered Mar 6, 2015 (-3 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2012, registered Apr 24, 2012 (-7 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