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.
K••• J• H••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 19, 2021 · Tupelo, Ms
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 25, 2014 to May 21, 2021 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedMar 12, 2012 to Nov 25, 2014 · Birmingham, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Mar 15, 2012 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 2, 2008 to Jan 2, 2009 · St Petersburg, Fl
- S•••••• S••••••••• I••• BD affiliatedAug 25, 2000 to Sep 10, 2008 · Columbus, Ga
- C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 21, 2021, registered May 19, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- L••••• F••••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 25, 2014, registered Nov 25, 2014 (0 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L••••• F••••••••• I•••left Mar 15, 2012, registered Mar 12, 2012 (-3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- S•••••• S••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Sep 10, 2008, registered Oct 2, 2008 (22 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address