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.
G••••• R• R•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 10, 2023 · Nashville, Tn
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Feb 9, 2023 · Mt. Juliet, Tn
- C••• B•••••••• S•••••••• I••• formerMay 30, 2018 to May 18, 2022 · Franklin, Tn
- C••• F•••••••• S•••••••• L••• formerFeb 28, 2017 to May 14, 2018 · Hendersonville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2015 to Mar 1, 2017 · Hermitage, Tn
- S••••••• I••••••••• S•••••••• I••• formerMar 6, 2014 to Jul 13, 2015 · Nashville, Tn
- F•••• T•••• S••••••••• I••• BD affiliatedMar 14, 2012 to Jan 31, 2014 · Gallatin, Tn
- E••••• J•••• national BDFeb 28, 2011 to May 10, 2011 · St Louis, Mo
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 9, 2023, registered Jan 10, 2023 (-30 days) · RIA to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left May 14, 2018, registered May 30, 2018 (16 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Mar 1, 2017, registered Feb 28, 2017 (-1 days) · Other
- S••••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 13, 2015, registered Sep 22, 2015 (71 days) · Other
- F•••• T•••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 31, 2014, registered Mar 6, 2014 (34 days) · Other
- E••••• J•••• to F•••• T•••• S••••••••• I•••left May 10, 2011, registered Mar 14, 2012 (309 days) · Other
- G••••• R• R••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-01-10)Feb 9, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address