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•••••• N•••• R••••••
- S••••• O•• S••••••••• I••• BD affiliated currentsince Aug 12, 2021 · Knoxville, Tn
- P•••••• C••••• S•••••••• L•• BD affiliatedMar 12, 2021 to Aug 9, 2021 · Knoxville, Tn
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2020 to Feb 10, 2021 · Knoxville, Tn
- S•• A•••••••• I••• formerFeb 12, 2013 to Sep 18, 2020 · Knoxville, Tn
- P•••••• C••••• S•••••••• L•• to S••••• O•• S••••••••• I•••left Aug 9, 2021, registered Aug 12, 2021 (3 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to P•••••• C••••• S•••••••• L••left Feb 10, 2021, registered Mar 12, 2021 (30 days) · Affiliated broker-dealer or bank to independent RIA
- S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address