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.
B•••• J•••••• S••••
- M•••• • C••••• I•• BD affiliated currentsince Mar 17, 2025 · Athens, Al
- W•••• F•••• A••••••• wirehouseNov 17, 2022 to Mar 24, 2025 · Birmingham, Al
- E••••• J•••• national BDApr 28, 2014 to Nov 21, 2022 · St Louis, Mo
- W•••• F•••• A••••••• to M•••• • C••••• I••left Mar 24, 2025, registered Mar 17, 2025 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Nov 21, 2022, registered Nov 17, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- B•••• J•••••• S•••• left W•••• F•••• A••••••• for M•••• • C••••• I•• (registered 2025-03-17)Mar 24, 2025 · Advisor changed firm · fact
- B•••• J•••••• S•••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2022-11-17)Nov 21, 2022 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address