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.
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B•••••• W•••• B••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 17, 2023 · Birmingham, Al
- M••••• S•••••• wirehouseFeb 1, 2013 to Feb 23, 2023 · Birmingham, Al
- F•••••••• T••••••• I••• formerSep 24, 2010 to Feb 4, 2013 · San Rafael, Ca
- N•• A•••••••• I••• unclassifiedDec 18, 2009 to Sep 27, 2010 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 13, 2007 to Nov 30, 2009 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedJul 20, 2005 to May 21, 2007 · Birmingham, Al
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 23, 2023, registered Feb 17, 2023 (-6 days) · Wirehouse to wirehouse · moved with a team
- F•••••••• T••••••• I••• to M••••• S••••••left Feb 4, 2013, registered Feb 1, 2013 (-3 days) · Other
- N•• A•••••••• I••• to F•••••••• T••••••• I•••left Sep 27, 2010, registered Sep 24, 2010 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• A•••••••• I•••left Nov 30, 2009, registered Dec 18, 2009 (18 days) · Other
- L••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 21, 2007, registered Jun 13, 2007 (23 days) · Other
- B•••••• W•••• B•••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2023-02-17)Feb 23, 2023 · 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address