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•••••• G• D•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 26, 2021 · Ponte Vedra Beach, Fl
- A••••••• F•••••••• A•••••••• L•• BD affiliatedNov 6, 2018 to Dec 19, 2019 · Chattanooga, Tn
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 5, 2016 to Mar 2, 2018 · Chattanooga, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 12, 2012 to Aug 2, 2016 · Chattanooga, Tn
- A••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 19, 2019, registered Oct 26, 2021 (677 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• I••••••••• A••••••• L•• to A••••••• F•••••••• A•••••••• L••left Mar 2, 2018, registered Nov 6, 2018 (249 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Aug 2, 2016, registered Aug 5, 2016 (3 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address