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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- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Apr 12, 2024 · Stamford, Ct
- S••••••••• W••••• P••••••• independent RIADec 5, 2016 to May 3, 2024 · Franklin, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 3, 2010 to Dec 20, 2016 · Nashville, Tn
- S••••••••• W••••• P••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left May 3, 2024, registered Apr 12, 2024 (-21 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••••• W••••• P•••••••left Dec 20, 2016, registered Dec 5, 2016 (-15 days) · Other · moved with a team
- T••••• E••••• N••• D••••••• left S••••••••• W••••• P••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-04-12)May 3, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address