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••• G••••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Sep 23, 2024 · Nashville, Tn
- U•• F•••••••• S••••••• I••• wirehouseJul 24, 2020 to Aug 8, 2024 · Franklin, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 29, 2018 to Jul 28, 2020 · Nashville, Tn
- C••••••• S••••••••• I••• BD affiliatedAug 31, 2017 to Aug 21, 2018 · Temple, Pa
- W•••••• • R••• formerJul 11, 2016 to Oct 3, 2016 · Camp Hill, Pa
- U•• F•••••••• S••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Aug 8, 2024, registered Sep 23, 2024 (46 days) · Other
- T••••• A••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Jul 28, 2020, registered Jul 24, 2020 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••••••• S••••••••• I••• to T••••• A••••••• S•••••••• I•••left Aug 21, 2018, registered Aug 29, 2018 (8 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to C••••••• S••••••••• I•••left Oct 3, 2016, registered Aug 31, 2017 (332 days) · Other
- R••• G•••••• left U•• F•••••••• S••••••• I••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2024-09-23)Aug 8, 2024 · Advisor changed firm · fact
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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address