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.
P•••••• J•••• D••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 7, 2015 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• formerJul 31, 2009 to Jul 7, 2015 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedJul 18, 2001 to Aug 3, 2009 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
- L••••• F••••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Aug 3, 2009, registered Jul 31, 2009 (-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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address