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.
M•••••• D•••• C•••••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Mar 31, 2023 · Knoxville, Tn
- C••••• S••••• A•••••••• I••• formerOct 27, 2021 to Jun 13, 2023 · Nashville, Tn
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 7, 2018 to Oct 25, 2021 · Nashville, Tn
- F•••••• I••••••••• M••••••••• I••• independent RIAJul 6, 2016 to Feb 28, 2018 · Nashville, Tn
- C••••• C••••••• L•• formerAug 19, 2011 to Mar 21, 2016 · Franklin, Tn
- L••••• T•• A•• F•••••••• P•••••••• L•• unclassifiedJan 12, 2010 to Aug 19, 2011 · Knoxville, Tn
- C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jun 13, 2023, registered Mar 31, 2023 (-74 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••• I••••••••• A••••••• L•• to C••••• S••••• A•••••••• I•••left Oct 25, 2021, registered Oct 27, 2021 (2 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••• I••••••••• M••••••••• I••• to C••••• I••••••••• A••••••• L••left Feb 28, 2018, registered Mar 7, 2018 (7 days) · Other
- C••••• C••••••• L•• to F•••••• I••••••••• M••••••••• I•••left Mar 21, 2016, registered Jul 6, 2016 (107 days) · Other
- L••••• T•• A•• F•••••••• P•••••••• L•• to C••••• C••••••• L••left Aug 19, 2011, registered Aug 19, 2011 (0 days) · Other
- M•••••• D•••• C••••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-03-31)Jun 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address