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•••••• R••••• H••••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince May 19, 2016 · Jacksonville, Al
- C••••••••• W••••• M••••••••• formerMay 14, 2014 to May 9, 2016 · Birmingham, Al
- C••• B•••••••• S•••••••• I••• formerAug 6, 2012 to Feb 6, 2014 · Waverly, Ia
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 17, 2012 to Jul 27, 2012 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• formerFeb 18, 2009 to Nov 17, 2009 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseOct 2, 2007 to Dec 20, 2007 · Gadsen, Al
- A• G• E•••••• • S•••• I••• unclassifiedJul 7, 1999 to Nov 5, 2003 · Gadsden, Al
- C••••••••• W••••• M••••••••• to B•••••••• A•••• M••••••••• L••left May 9, 2016, registered May 19, 2016 (10 days) · Other
- C••• B•••••••• S•••••••• I••• to C••••••••• W••••• M•••••••••left Feb 6, 2014, registered May 14, 2014 (97 days) · Other
- M•• I•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jul 27, 2012, registered Aug 6, 2012 (10 days) · Other
- S••••• A••• A•••• M••••••••• I••• to M•• I•••••••• S•••••••• L••left Nov 17, 2009, registered Apr 17, 2012 (882 days) · Other
- W•••• F•••• A••••••• to S••••• A••• A•••• M••••••••• I•••left Dec 20, 2007, registered Feb 18, 2009 (426 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Nov 5, 2003, registered Oct 2, 2007 (1427 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address