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.
W•••••• A•••••••• C••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 6, 2022 · Farragut, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 30, 2020 to May 10, 2022 · Knoxville, Tn
- E••••• J•••• national BDOct 12, 2017 to Aug 7, 2019 · Powell, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 10, 2022, registered Jun 6, 2022 (27 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 7, 2019, registered Jun 30, 2020 (328 days) · Affiliated broker-dealer or bank to another
- W•••••• A•••••••• C•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-06-06)May 10, 2022 · 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address