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.
D••••• D•••• P•••••
- A•••••••• P•••••••• L•• state registered currentsince Apr 6, 2021 · Brentwood, Tn
- H••••• R•••• formerAug 16, 2019 to Apr 7, 2021 · Brentwood, Tn
- C••• S••••• P••••••• BD affiliatedFeb 12, 2016 to Aug 22, 2019 · Brentwood, Tn
- S•••••• N••••••• • C••••••• I••••••••• national BDSep 1, 2011 to Feb 23, 2016 · Nashville, Tn
- H••••• R•••• to A•••••••• P•••••••• L••left Apr 7, 2021, registered Apr 6, 2021 (-1 days) · RIA to a state-registered adviser · moved with a team
- C••• S••••• P••••••• to H••••• R••••left Aug 22, 2019, registered Aug 16, 2019 (-6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to C••• S••••• P•••••••left Feb 23, 2016, registered Feb 12, 2016 (-11 days) · Other · moved with a team
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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address