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.
- E••••• J•••• national BD currentsince Aug 16, 2024 · Chattanooga, Tn
- C•••••• G•••• • C• I•• formerOct 4, 2021 to Aug 19, 2024 · Chattanooga, Tn
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 3, 2017 to Oct 1, 2021 · Hixson, Tn
- F•••• H•••••• A•••••••• I•• formerApr 30, 2015 to Feb 1, 2016 · Cleveland, Tn
- C•••••• G•••• • C• I•• to E••••• J••••left Aug 19, 2024, registered Aug 16, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C•••••• G•••• • C• I••left Oct 1, 2021, registered Oct 4, 2021 (3 days) · Affiliated broker-dealer or bank to another
- F•••• H•••••• A•••••••• I•• to C••••• I••••••••• A••••••• L••left Feb 1, 2016, registered Mar 3, 2017 (396 days) · Other
- P•••••• W• D•••• left C•••••• G•••• • C• I•• for E••••• J•••• (registered 2024-08-16)Aug 19, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address