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••••••• M•••• S•••••
- E••••• J•••• national BD currentsince Nov 19, 2021 · Oak Ridge, Tn
- F•••• H•••••• A•••••••• I•• formerSep 7, 2016 to Jul 1, 2020 · Knoxville, Tn
- S••••••• I••••••••• S•••••••• I••• formerMar 29, 2016 to Aug 1, 2016 · Knoxville, Tn
- S••••••• I••••••••• S•••••••• I••• formerDec 6, 2010 to Mar 4, 2015 · Knoxville, Tn
- E••••• J•••• national BDApr 22, 2009 to Dec 1, 2010 · Knoxville, Tn
- F•••• H•••••• A•••••••• I•• to E••••• J••••left Jul 1, 2020, registered Nov 19, 2021 (506 days) · RIA to affiliated broker-dealer or bank
- S••••••• I••••••••• S•••••••• I••• to F•••• H•••••• A•••••••• I••left Aug 1, 2016, registered Sep 7, 2016 (37 days) · Other
- E••••• J•••• to S••••••• I••••••••• S•••••••• I•••left Dec 1, 2010, registered Dec 6, 2010 (5 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address