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.
C••••••• F••••• R••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jul 14, 2021 · Mobile, Al
- P•• M•••••• A•••••• S••••••••• I••• formerAug 17, 2016 to Apr 27, 2021 · Mobile, Al
- P•• W••••• M••••••••• BD affiliatedApr 11, 2012 to Jul 29, 2016 · Alpharetta, Ga
- B••• I••••••••• S•••••••• I••• formerJan 22, 2010 to Apr 2, 2012 · Mobile, Al
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 17, 2008 to Jan 28, 2010 · Daphne, Al
- P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 27, 2021, registered Jul 14, 2021 (78 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Jul 29, 2016, registered Aug 17, 2016 (19 days) · Other
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Apr 2, 2012, registered Apr 11, 2012 (9 days) · Other
- V•••• F•••••••• A•••••••• I••• to B••• I••••••••• S•••••••• I•••left Jan 28, 2010, registered Jan 22, 2010 (-6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address