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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- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 18, 2022 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• formerJan 2, 2004 to Apr 18, 2022 · Birmigham, Al
- P•••••••• P••••••• A•••••••• I••• unclassifiedJun 30, 2003 to Feb 23, 2004 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 18, 2022, registered Apr 18, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••••• P••••••• A•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Feb 23, 2004, registered Jan 2, 2004 (-52 days) · Other
- W•••••• H••••••••• left C•••••••• F•••••••• G•••• A••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-04-18)Apr 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 51derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address