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.
J••••• P••• M•••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 31, 2023 · Knoxville, Tn
- E••••• J•••• national BDAug 30, 2013 to Apr 18, 2023 · Powell, Tn
- M•• F•••••••• S•••••••• I••• formerAug 3, 2012 to Sep 5, 2013 · Knoxville, Tn
- S••••••• I••••••••• S•••••••• I••• formerJan 26, 2012 to Jul 27, 2012 · Knoxville, Tn
- E••••• J•••• to W•••• F•••• A•••••••left Apr 18, 2023, registered Mar 31, 2023 (-18 days) · Affiliated broker-dealer or bank to wirehouse
- M•• F•••••••• S•••••••• I••• to E••••• J••••left Sep 5, 2013, registered Aug 30, 2013 (-6 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 27, 2012, registered Aug 3, 2012 (7 days) · Other
- J••••• P••• M••••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2023-03-31)Apr 18, 2023 · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address