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.
L••••••• W•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Birmingham, Al
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 2, 2022 to Mar 31, 2025 · Birmingham, Al
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 28, 2014 to Oct 23, 2020 · Tuscaloosa, Al
- O••••••••• • C•• I••• BD affiliatedMay 14, 2013 to Apr 22, 2014 · Sarasota, Fl
- A•••• W••••• A•••••••• L•• BD affiliatedAug 23, 2012 to May 2, 2013 · Chicago, Il
- M•• F•••••••• S•••••••• I••• formerNov 23, 2010 to Aug 6, 2012 · Sarasota, Fl
- M••••• K••••• • C••••••• L•• formerJun 9, 2010 to Nov 11, 2010 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseFeb 29, 2008 to Jul 8, 2009 · Naples, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 2000 to Mar 6, 2008 · Bradenton, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 23, 2020, registered Aug 2, 2022 (648 days) · Other
- O••••••••• • C•• I••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 22, 2014, registered May 28, 2014 (36 days) · Other
- A•••• W••••• A•••••••• L•• to O••••••••• • C•• I•••left May 2, 2013, registered May 14, 2013 (12 days) · Other
- M•• F•••••••• S•••••••• I••• to A•••• W••••• A•••••••• L••left Aug 6, 2012, registered Aug 23, 2012 (17 days) · Other
- M••••• K••••• • C••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 11, 2010, registered Nov 23, 2010 (12 days) · Other
- W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••left Jul 8, 2009, registered Jun 9, 2010 (336 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Mar 6, 2008, registered Feb 29, 2008 (-6 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address