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••••• G•••••• W•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Pascagoula, Ms
- S••••• A••••••• I••• BD affiliatedJun 30, 2016 to Jun 26, 2023 · Pascagoula, Ms
- S••••• A••• A•••• M••••••••• I••• formerMar 7, 2014 to Jun 30, 2016 · Pascagoula, Ms
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Nov 1, 2012 · Mobile, Al
- A• G• E•••••• • S•••• I••• unclassifiedJul 26, 2004 to Jan 1, 2008 · Pascagoula, Ms
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 20, 2004 to Jul 27, 2004 · Mobile, Al
- M••••• S•••••• D• I••• unclassifiedJan 23, 2003 to Feb 23, 2004 · Mobile, Al
- S••••• A••••••• I••• to L•• F•••••••• L••left Jun 26, 2023, registered Jan 1, 2025 (555 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S••••• A••• A•••• M••••••••• I•••left Nov 1, 2012, registered Mar 7, 2014 (491 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A• G• E•••••• • S•••• I•••left Jul 27, 2004, registered Jul 26, 2004 (-1 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Feb 23, 2004, registered Feb 20, 2004 (-3 days) · Other
- M••••• G•••••• W••••• left S••••• A••••••• I••• for L•• F•••••••• L•• (registered 2025-01-01)Jun 26, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address