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.
J••••••• H••• R•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 20, 2023 · Birmingham, Al
- S•••••• N••••••• • C••••••• I••••••••• national BDJan 11, 2019 to Jan 24, 2023 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2013 to Jan 14, 2019 · Birmingham, Al
- M••••• S•••••• wirehouseOct 8, 2009 to Nov 20, 2013 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedOct 5, 2004 to Oct 13, 2009 · Birmingham, Al
- Q•••••• A•••• M••••••••• I•• unclassifiedFeb 15, 2002 to Oct 2, 2003 · Birmingham, Al
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Jan 24, 2023, registered Jan 20, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 14, 2019, registered Jan 11, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 20, 2013, registered Nov 8, 2013 (-12 days) · Wirehouse to wirehouse
- L••••• F••••••••• I••• to M••••• S••••••left Oct 13, 2009, registered Oct 8, 2009 (-5 days) · Other
- Q•••••• A•••• M••••••••• I•• to L••••• F••••••••• I•••left Oct 2, 2003, registered Oct 5, 2004 (369 days) · Other
- J••••••• H••• R••••••• left S•••••• N••••••• • C••••••• I••••••••• for W•••• F•••• A••••••• (registered 2023-01-20)Jan 24, 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address