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.
P•••••• W•••• G•••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 27, 2014 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• formerJan 3, 2007 to Oct 13, 2014 · Birmingham, Al
- S•••••• A••• • L••••• I••• unclassifiedJun 23, 2006 to Jan 3, 2007 · Birmingham, Al
- M••••• S•••••• D• I••• unclassifiedJul 30, 1992 to Jun 26, 2006 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 13, 2014, registered Oct 27, 2014 (14 days) · Other
- S•••••• A••• • L••••• I••• to S••••• A••• A•••• M••••••••• I•••left Jan 3, 2007, registered Jan 3, 2007 (0 days) · Other
- M••••• S•••••• D• I••• to S•••••• A••• • L••••• I•••left Jun 26, 2006, registered Jun 23, 2006 (-3 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