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••••• K•••• G••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 15, 2017 · Birmingham, Al
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 21, 2016 to Oct 6, 2017 · Vestavia, Al
- P•• M•••••• A•••••• S••••••••• I••• formerJun 26, 2015 to Oct 11, 2016 · Birmingham, Al
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 25, 2015 · Birmingham, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 8, 2006 to Jun 1, 2009 · Birmingham, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to May 8, 2006 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 31, 2003 to Jul 10, 2003 · Birmingham, Al
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Oct 6, 2017, registered Nov 15, 2017 (40 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Oct 11, 2016, registered Nov 21, 2016 (41 days) · Other
- M••••• S•••••• to P•• M•••••• A•••••• S••••••••• I•••left Jun 25, 2015, registered Jun 26, 2015 (1 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to C•••••••• G••••• M•••••• I•••left May 8, 2006, registered May 8, 2006 (0 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 10, 2003, registered Jul 10, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address