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.
R•••••• M••••• H•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 21, 2014 · Montgomery, Al
- B••• I••••••••• S•••••••• I••• formerDec 9, 2009 to Jan 23, 2013 · Montgomery, Al
- R•• C•••••• M••••••• L•• national BDAug 17, 2007 to Dec 11, 2009 · Mobile, Al
- W•••• F•••• A••••••• wirehouseApr 23, 2005 to Aug 17, 2007 · Troy, Al
- B••• I••••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Jan 23, 2013, registered Jan 21, 2014 (363 days) · Other
- R•• C•••••• M••••••• L•• to B••• I••••••••• S•••••••• I•••left Dec 11, 2009, registered Dec 9, 2009 (-2 days) · Affiliated broker-dealer or bank to a newly registered adviser
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Aug 17, 2007, registered Aug 17, 2007 (0 days) · Wirehouse to affiliated broker-dealer or bank
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address