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•••• A••••• C••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 19, 2018 · Dothan, Al
- I•••••• A••••••• independent RIAJul 7, 2016 to Oct 25, 2018 · Dothan, Al
- L•• F•••••••• L•• BD affiliatedApr 12, 2013 to Sep 25, 2018 · Dothan, Al
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Apr 12, 2013 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedJul 27, 2010 to Oct 15, 2010 · Dothan, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedJun 11, 2002 to Jul 27, 2010 · Dothan, Al
- I•••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 25, 2018, registered Oct 19, 2018 (-6 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to I•••••• A•••••••left Sep 25, 2018, registered Jul 7, 2016 (-810 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Apr 12, 2013, registered Apr 12, 2013 (0 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Jul 27, 2010, registered Jul 27, 2010 (0 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address