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.
W•••• A••••• K•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 16, 2024 · Phenix City, Al
- W•••• F•••• A••••••• wirehouseOct 8, 2021 to Sep 19, 2024 · Atlanta, Ga
- P•• W••••• M••••••••• BD affiliatedAug 18, 2021 to Oct 13, 2021 · Eufaula, Al
- P•• M•••••• A•••••• S••••••••• I••• formerJan 22, 2018 to Aug 17, 2021 · Opelika, Al
- B••• S••••••••• L•• formerJan 2, 2018 to Jan 5, 2018 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerOct 10, 2014 to Jan 2, 2018 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerDec 2, 2009 to Oct 10, 2014 · Columbus, Ga
- E••••• J•••• national BDNov 27, 2006 to Nov 18, 2009 · Columbus, Ga
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Sep 19, 2024, registered Sep 16, 2024 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Oct 13, 2021, registered Oct 8, 2021 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 18, 2021 (1 days) · corporate re-registration, not a move
- B••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Jan 5, 2018, registered Jan 22, 2018 (17 days) · Other
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Oct 10, 2014, registered Oct 10, 2014 (0 days) · Other
- E••••• J•••• to S••••••• I••••••••• S•••••••• I•••left Nov 18, 2009, registered Dec 2, 2009 (14 days) · Other
- W•••• A••••• K••••• left W•••• F•••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2024-09-16)Sep 19, 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address