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.
A••••• L••••• D••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 29, 2018 · Kingsport, Tn
- S••••••• I••••••••• S•••••••• I••• formerNov 23, 2016 to Dec 31, 2016 · Kingsport, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 23, 2016 to Mar 2, 2018 · Kingsport, Tn
- U••• B•••••• I••••••••• I••• formerNov 27, 2012 to Nov 8, 2016 · Rogersville, Tn
- T••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 2, 2018, registered Mar 29, 2018 (27 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Nov 23, 2016 (-38 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Nov 8, 2016, registered Nov 23, 2016 (15 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address