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.
- L•• F•••••••• L•• BD affiliated currentsince Oct 15, 2019 · Birmingham, Al
- L••••••• W•••••• I••• independent RIASep 20, 2019 to Oct 3, 2019 · Houston, Tx
- C•••••••• F•••••••• G•••• A••••••• formerDec 27, 2018 to Sep 6, 2019 · Birmingham, Al
- B•••••••• I••••••••• I••• otherJan 11, 2013 to Dec 31, 2018 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• formerSep 9, 2011 to Aug 28, 2012 · Birmingham, Al
- M•• F•••••••• S•••••••• I••• formerMar 6, 2009 to Sep 15, 2011 · Birmingham, Al
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 18, 2007 to Nov 25, 2008 · Birmingham, Al
- E•••••••• A•••••••• L•• national BDApr 16, 2004 to Mar 24, 2007 · Trussville, Al
- L••••••• W•••••• I••• to L•• F•••••••• L••left Oct 3, 2019, registered Oct 15, 2019 (12 days) · RIA to affiliated broker-dealer or bank
- C•••••••• F•••••••• G•••• A••••••• to L••••••• W•••••• I•••left Sep 6, 2019, registered Sep 20, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA
- B•••••••• I••••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Dec 31, 2018, registered Dec 27, 2018 (-4 days) · RIA to affiliated broker-dealer or bank
- S••••• A••• A•••• M••••••••• I••• to B•••••••• I••••••••• I•••left Aug 28, 2012, registered Jan 11, 2013 (136 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Sep 15, 2011, registered Sep 9, 2011 (-6 days) · Other
- M•• I•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 25, 2008, registered Mar 6, 2009 (101 days) · Other
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 24, 2007, registered Apr 18, 2007 (25 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address