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.
K••••••••• I••••••• Q•••••
- C••••••••• F•••••••• N•••••• national BD currentsince May 27, 2020 · Franklin, Tn
- S••••••••• W••••• P••••••• independent RIADec 7, 2017 to May 21, 2020 · Franklin, Tn
- C••••• U•••• I••••••••• S••••••• state registeredMay 2, 2016 to Oct 31, 2016 · Raleigh, Nc
- S••••••••• W••••• P••••••• to C••••••••• F•••••••• N••••••left May 21, 2020, registered May 27, 2020 (6 days) · RIA to affiliated broker-dealer or bank
- C••••• U•••• I••••••••• S••••••• to S••••••••• W••••• P•••••••left Oct 31, 2016, registered Dec 7, 2017 (402 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address