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.
A•••••• C• W•••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 14, 2019 · Dothan, Al
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 25, 2016 to Aug 14, 2019 · Dothan, Al
- N•• A•••••• S•••••••• L•• formerFeb 4, 2014 to May 25, 2016 · Dothan, Al
- I••••• F•••••••• C••••••••• formerFeb 15, 2013 to Dec 23, 2013 · Birmingham, Al
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 22, 2010 to Jan 14, 2011 · Birmingham, Al
- S•••••• I••• unclassifiedApr 8, 2008 to Dec 31, 2008 · Birmingham, Al
- T••••••••• F•••••••• A•••••••• I••• unclassifiedDec 16, 1999 to Apr 1, 2008 · Birmingham, Al
- K••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 14, 2019, registered Aug 14, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left May 25, 2016, registered May 25, 2016 (0 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to N•• A•••••• S•••••••• L••left Dec 23, 2013, registered Feb 4, 2014 (43 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Jan 14, 2011, registered Feb 15, 2013 (763 days) · Other
- S•••••• I••• to T••••••••• F•••••••• A•••••••• L••left Dec 31, 2008, registered Mar 22, 2010 (446 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to S•••••• I•••left Apr 1, 2008, registered Apr 8, 2008 (7 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address