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.
D••••• L•• L••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2024 · Anniston, Al
- S••••• A••••••• I••• BD affiliatedJun 30, 2016 to Feb 23, 2024 · Anniston, Al
- S••••• A••• A•••• M••••••••• I••• formerAug 29, 2014 to Jun 30, 2016 · Anniston, Al
- B••• I••••••••• S•••••••• I••• formerSep 9, 2013 to Sep 2, 2014 · Charlotte, Nc
- S••••• A••• A•••• M••••••••• I••• formerJan 29, 2007 to Sep 12, 2013 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseJul 26, 2006 to Jan 22, 2007 · Anniston, Al
- S••••• A••••••• I••• to L•• F•••••••• L••left Feb 23, 2024, registered Feb 14, 2024 (-9 days) · Affiliated broker-dealer or bank to another
- S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Sep 2, 2014, registered Aug 29, 2014 (-4 days) · Other
- S••••• A••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Sep 12, 2013, registered Sep 9, 2013 (-3 days) · Other
- W•••• F•••• A••••••• to S••••• A••• A•••• M••••••••• I•••left Jan 22, 2007, registered Jan 29, 2007 (7 days) · Other
- D••••• L•• L•••••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2024-02-14)Feb 23, 2024 · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address