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.
S••••• R•••••• K•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 24, 2017 · Birmingham, Al
- P•• A••••••• mixed wealthJun 6, 2013 to Mar 24, 2017 · Hoover, Al
- S••••• A••• A•••• M••••••••• I••• formerSep 11, 2009 to Apr 9, 2013 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedJul 26, 2005 to Sep 1, 2009 · Birmingham, Al
- P•• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 24, 2017, registered Mar 24, 2017 (0 days) · Other
- S••••• A••• A•••• M••••••••• I••• to P•• A•••••••left Apr 9, 2013, registered Jun 6, 2013 (58 days) · Other
- L••••• F••••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Sep 1, 2009, registered Sep 11, 2009 (10 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address