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•••• C••••• Y•••
- W•••• F•••• A••••••• wirehouse currentsince Jan 20, 2023 · Birmingham, Al
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 13, 2013 to Jan 24, 2023 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseJun 26, 2008 to Nov 14, 2013 · Birmingham, Al
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Jan 24, 2023, registered Jan 20, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 14, 2013, registered Nov 13, 2013 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- S•••• C••••• Y••• left S•••••• N••••••• • C••••••• I••••••••• for W•••• F•••• A••••••• (registered 2023-01-20)Jan 24, 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address