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•••••• B• A•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 10, 2019 · Montgomery, Al
- U•• F•••••••• S••••••• I••• wirehouseFeb 27, 2009 to Oct 21, 2019 · Montgomery, Al
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 2, 2009 · Montgomery, Al
- M••••• S•••••• D• I••• unclassifiedOct 14, 2005 to Apr 2, 2007 · Montgomery, Al
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJul 6, 2000 to Oct 20, 2005 · Montgomery, Al
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 21, 2019, registered Oct 10, 2019 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Mar 2, 2009, registered Feb 27, 2009 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to M••••• S•••••• D• I•••left Oct 20, 2005, registered Oct 14, 2005 (-6 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address