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.
D•••• M••• R•••••
- S•••• T••••••• A•••••••• L•• mixed wealth currentsince Mar 8, 2021 · Huntsville, Al
- W•••• F•••• A••••••• wirehouseSep 9, 2011 to Mar 8, 2021 · Huntsville, Al
- M••••• K••••• • C••••••• L•• formerSep 16, 2003 to Sep 12, 2011 · Scottsboro, Al
- W•••• F•••• A••••••• to S•••• T••••••• A•••••••• L••left Mar 8, 2021, registered Mar 8, 2021 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Sep 12, 2011, registered Sep 9, 2011 (-3 days) · Other
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address