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.
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R••••• P••• M••••
- I•• A•••••••• L•• independent RIA currentsince Dec 11, 2023 · Atlanta, Ga
- O•• T••• F•••••••• S•••••••• L•• formerApr 17, 2015 to Dec 31, 2023 · Huntsville, Al
- W•••• F•••• A••••••• wirehouseMay 21, 2009 to Jul 15, 2011 · Huntsville, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to May 28, 2009 · Huntsville, Al
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 17, 1995 to Feb 21, 2006 · Huntsville, Al
- O•• T••• F•••••••• S•••••••• L•• to I•• A•••••••• L••left Dec 31, 2023, registered Dec 11, 2023 (-20 days) · RIA to RIA · moved with a team
- W•••• F•••• A••••••• to O•• T••• F•••••••• S•••••••• L••left Jul 15, 2011, registered Apr 17, 2015 (1372 days) · Wirehouse to independent RIA
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 28, 2009, registered May 21, 2009 (-7 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- R••••• P••• M•••• left O•• T••• F•••••••• S•••••••• L•• for I•• A•••••••• L•• (registered 2023-12-11)Dec 31, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address