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••••••• E• R••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 28, 2025 · Tuscaloosa, Al
- A••••••••• F•••••••• S•••••••• L•• national BDMay 2, 2017 to Aug 12, 2025 · Tuscaloosa, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 9, 2004 to Apr 25, 2017 · Mobile, Al
- A••••••••• F•••••••• S•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Aug 12, 2025, registered Jul 28, 2025 (-15 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 25, 2017, registered May 2, 2017 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••••• E• R•••• left A••••••••• F•••••••• S•••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-07-28)Aug 12, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address