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.
- C••• L•• BD affiliated currentsince Aug 20, 2014 · Johnson City, Tn
- G••• W••••• A•••••••• I••• formerFeb 18, 2014 to Jul 1, 2016 · Kingsport, Tn
- L•• F•••••••• L•• BD affiliatedSep 13, 2012 to Jun 26, 2013 · Abingdon, Va
- P•• W••••• M••••••••• BD affiliatedJun 18, 2010 to Sep 11, 2012 · London, Ky
- E••••• J•••• national BDJun 30, 2008 to Nov 11, 2008 · St Louis, Mo
- G••• W••••• A•••••••• I••• to C••• L••left Jul 1, 2016, registered Aug 20, 2014 (-681 days) · Other · moved with a team
- L•• F•••••••• L•• to G••• W••••• A•••••••• I•••left Jun 26, 2013, registered Feb 18, 2014 (237 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Sep 11, 2012, registered Sep 13, 2012 (2 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Nov 11, 2008, registered Jun 18, 2010 (584 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address