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.
W•••••• F••••••• S••••••
- E••••••••• W••••• A•••••••• L•• independent RIA currentsince Sep 1, 2023 · Birmingham, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Sep 6, 2023 · Green Valley, Az
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 6, 2007 to Jan 2, 2009 · Green Valley, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••••••••• W••••• A•••••••• L••left Sep 6, 2023, registered Sep 1, 2023 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- W•••••• F••••••• S•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for E••••••••• W••••• A•••••••• L•• (registered 2023-09-01)Sep 6, 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address