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••••• R•• S•••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 19, 2021 · Nashville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 11, 2015 to Mar 22, 2021 · Nashville, Tn
- B••• I••••••••• S•••••••• I••• formerSep 30, 2014 to Feb 9, 2015 · Franklin, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 14, 2011 to Sep 16, 2014 · Franklin, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 22, 2021, registered Mar 19, 2021 (-3 days) · Wirehouse to wirehouse · moved with a team
- B••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 9, 2015, registered Feb 11, 2015 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Sep 16, 2014, registered Sep 30, 2014 (14 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address