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.
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- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Oct 9, 2019 · Frisco, Tx
- H••••• I••••••••• M••••••••• L•• independent RIAJul 12, 2017 to May 15, 2018 · Knoxville, Tn
- C••••••••• S••••••••• L•• BD affiliatedSep 28, 2016 to Jul 3, 2017 · Knoxville, Tn
- S••••• I••••••••• M••••••••• L•• independent RIAJan 21, 2015 to Oct 5, 2016 · Knoxville, Tn
- H••••• I••••••••• M••••••••• L•• to B••••••••• C•••••• M••••••••• L••left May 15, 2018, registered Oct 9, 2019 (512 days) · RIA to RIA
- C••••••••• S••••••••• L•• to H••••• I••••••••• M••••••••• L••left Jul 3, 2017, registered Jul 12, 2017 (9 days) · Other
- S••••• I••••••••• M••••••••• L•• to C••••••••• S••••••••• L••left Oct 5, 2016, registered Sep 28, 2016 (-7 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