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.
S•••••• A•••••• P•••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Jul 10, 2017 · Spanish Fort, Al
- R••••••••• A•••• M••••••••• L•• unclassifiedJun 28, 2005 to Feb 8, 2010 · Daphne, Al
- G•••••••• F••••••••• I•• unclassifiedMar 21, 2005 to Jun 9, 2005 · Daphne, Al
- W•••• F•••• A••••••• wirehouseNov 29, 2002 to Mar 24, 2005 · Fair Hope, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 6, 1995 to Dec 3, 2002 · Metairie, La
- R••••••••• A•••• M••••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Feb 8, 2010, registered Jul 10, 2017 (2709 days) · Other
- G•••••••• F••••••••• I•• to R••••••••• A•••• M••••••••• L••left Jun 9, 2005, registered Jun 28, 2005 (19 days) · Other
- W•••• F•••• A••••••• to G•••••••• F••••••••• I••left Mar 24, 2005, registered Mar 21, 2005 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 3, 2002, registered Nov 29, 2002 (-4 days) · Wirehouse to wirehouse
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address