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.
S•••• A•••• C•••••••
- T••••• L•• independent RIA currentsince Apr 20, 2023 · Morristown, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 30, 2018 to Aug 10, 2021 · Johnson City, Tn
- U••••• C•••••• F•••••••• A••••••• independent RIANov 13, 2015 to Jul 17, 2018 · Alpharetta, Ga
- R••••• B••• • C••• L•• formerNov 20, 2012 to Mar 2, 2015 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• L••left Aug 10, 2021, registered Apr 20, 2023 (618 days) · Wirehouse to independent RIA
- U••••• C•••••• F•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 17, 2018, registered Jul 30, 2018 (13 days) · RIA to wirehouse
- R••••• B••• • C••• L•• to U••••• C•••••• F•••••••• A•••••••left Mar 2, 2015, registered Nov 13, 2015 (256 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address