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.
J••••• S•••• H••
- L•• F•••••••• L•• BD affiliated currentsince Dec 8, 2022 · Clanton, Al
- B•• P•••••••• I••• BD affiliatedSep 27, 2018 to Nov 30, 2022 · Clanton, Al
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedNov 15, 2010 to Nov 30, 2022 · Clanton, Al
- W•• A•••••••• L• formerFeb 19, 2010 to Nov 5, 2010 · Clanton, Al
- F•••• L••••• S••••••••• L•• unclassifiedSep 30, 2008 to Feb 18, 2010 · Montgomery, Al
- S••••• F•••••••• S•••••••• I••• formerMay 9, 2007 to Sep 26, 2008 · Wadley, Al
- B•• P•••••••• I••• to L•• F•••••••• L••left Nov 30, 2022, registered Dec 8, 2022 (8 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to B•• P•••••••• I•••left Nov 30, 2022, registered Sep 27, 2018 (-1525 days) · Affiliated broker-dealer or bank to another
- W•• A•••••••• L• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Nov 5, 2010, registered Nov 15, 2010 (10 days) · Other
- F•••• L••••• S••••••••• L•• to W•• A•••••••• L•left Feb 18, 2010, registered Feb 19, 2010 (1 days) · Other
- S••••• F•••••••• S•••••••• I••• to F•••• L••••• S••••••••• L••left Sep 26, 2008, registered Sep 30, 2008 (4 days) · Other
- J••••• S•••• H•• left B•• P•••••••• I••• for L•• F•••••••• L•• (registered 2022-12-08)Nov 30, 2022 · Advisor changed firm · fact
- J••••• S•••• H•• left B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• for B•• P•••••••• I••• (registered 2018-09-27)Nov 30, 2022 · 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
- 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