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.
S••••• D•••••• W••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Rome, Ga
- F•••• A••••• A••••••• S•••••••• I••• formerJun 20, 2012 to Nov 12, 2020 · Birmingham, Al
- F•••• A••••• S••••••••• I••• formerMay 31, 2011 to Jul 2, 2012 · San Diego, Ca
- I•••••••• C•••••• A••••••• formerMar 9, 2007 to Jun 1, 2011 · Lynnfield, Ma
- C••••• A••••••• L•• formerNov 25, 2003 to Mar 16, 2007 · Birmingham, Al
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jun 20, 2012 (-12 days) · corporate re-registration, not a move
- I•••••••• C•••••• A••••••• to F•••• A••••• S••••••••• I•••left Jun 1, 2011, registered May 31, 2011 (-1 days) · Other
- C••••• A••••••• L•• to I•••••••• C•••••• A•••••••left Mar 16, 2007, registered Mar 9, 2007 (-7 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address