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.
K••••• M• T•••••••••
- N••• C••••••••• BD affiliated currentsince Jan 27, 2020 · Hoover, Al
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 25, 2016 to Apr 12, 2019 · Hoover, Al
- N•• A•••••• S•••••••• L•• formerDec 3, 2015 to May 25, 2016 · Hoover, Al
- S••••••••• A•••••• A•••••••• I••• formerMay 1, 2014 to Oct 23, 2015 · Hoover, Al
- S••••• A••• A•••• M••••••••• I••• formerFeb 26, 2009 to May 7, 2014 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2008 to Mar 4, 2009 · Birmingham, Al
- C••••••• A•••• M••••••••• I•• unclassifiedJul 19, 2005 to Aug 18, 2008 · Birmingham, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedMay 22, 2002 to Jun 6, 2005 · Auburn, Al
- K••••• A••••••• S•••••••• L•• to N••• C•••••••••left Apr 12, 2019, registered Jan 27, 2020 (290 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left May 25, 2016, registered May 25, 2016 (0 days) · Other · moved with a team
- S••••••••• A•••••• A•••••••• I••• to N•• A•••••• S•••••••• L••left Oct 23, 2015, registered Dec 3, 2015 (41 days) · Other
- S••••• A••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left May 7, 2014, registered May 1, 2014 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• A••• A•••• M••••••••• I•••left Mar 4, 2009, registered Feb 26, 2009 (-6 days) · Other
- C••••••• A•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 18, 2008, registered Aug 15, 2008 (-3 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to C••••••• A•••• M••••••••• I••left Jun 6, 2005, registered Jul 19, 2005 (43 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