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.
R•••••• T••••• F•••••••
- B••••• C•••••• M••••••••• L•• independent RIA currentsince Oct 6, 2021 · Franklin, Tn
- U••• B•••••• I••••••••• I••• formerSep 8, 2021 to Oct 8, 2021 · Brentwood, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 23, 2015 to Aug 30, 2021 · Nashville, Tn
- W•••••• • R••• formerFeb 19, 2015 to Aug 19, 2015 · Memphis, Tn
- U••• B•••••• I••••••••• I••• to B••••• C•••••• M••••••••• L••left Oct 8, 2021, registered Oct 6, 2021 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Aug 30, 2021, registered Sep 8, 2021 (9 days) · Wirehouse to affiliated broker-dealer or bank
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 19, 2015, registered Sep 23, 2015 (35 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address