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.
M•••••• C••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 26, 2020 · Vestavia Hills, Al
- H••••••• F•••••••• G••••• I••• formerJan 7, 2008 to Mar 25, 2020 · Birmingham, Al
- T•••• A•••••••• L•• formerJun 2, 2006 to Jan 8, 2008 · Birmingham, Al
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 11, 2002 to Jun 3, 2006 · Birmingham, Al
- H••••••• F•••••••• G••••• I••• to L•• F•••••••• L••left Mar 25, 2020, registered Mar 26, 2020 (1 days) · Other · moved with a team
- T•••• A•••••••• L•• to H••••••• F•••••••• G••••• I•••left Jan 8, 2008, registered Jan 7, 2008 (-1 days) · Other
- M•• I•••••••• S•••••••• L•• to T•••• A•••••••• L••left Jun 3, 2006, registered Jun 2, 2006 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address