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.
D••••• J••••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 12, 2024 · Mobile, Al
- O•••• F•• I••• formerMay 26, 2022 to Nov 8, 2024 · Mobile, Al
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 6, 2016 to May 27, 2022 · Mobile, Al
- W•••• F•••• A••••••• wirehouseDec 17, 2014 to Sep 13, 2016 · Mobile, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedJun 4, 2009 to Aug 20, 2009 · Mobile, Al
- C••••• I••••••••• S••••••• L•• formerSep 8, 2008 to Dec 19, 2008 · Mobile, Al
- R•• C•••••• M••••••• L•• national BDMar 16, 2007 to Sep 11, 2008 · Charlotte, Nc
- M••••• K••••• • C••••••• L•• formerMar 5, 2007 to Mar 27, 2007 · Mobile, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJan 24, 2005 to Feb 20, 2007 · Mobile, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Oct 16, 2003 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2003 to Sep 22, 2003 · New Orleans, La
- O•••• F•• I••• to L•• F•••••••• L••left Nov 8, 2024, registered Nov 12, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• A••••••• L•• to O•••• F•• I•••left May 27, 2022, registered May 26, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Sep 13, 2016, registered Sep 6, 2016 (-7 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to W•••• F•••• A•••••••left Aug 20, 2009, registered Dec 17, 2014 (1945 days) · Other
- C••••• I••••••••• S••••••• L•• to B••• C•••••• I••••••••• S••••••••• I••left Dec 19, 2008, registered Jun 4, 2009 (167 days) · Other
- R•• C•••••• M••••••• L•• to C••••• I••••••••• S••••••• L••left Sep 11, 2008, registered Sep 8, 2008 (-3 days) · Other
- M••••• K••••• • C••••••• L•• to R•• C•••••• M••••••• L••left Mar 27, 2007, registered Mar 16, 2007 (-11 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 20, 2007, registered Mar 5, 2007 (13 days) · corporate re-registration, not a move
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Sep 22, 2003, registered Jul 10, 2003 (-74 days) · Other
- D••••• J••••• C•••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-11-12)Nov 8, 2024 · Advisor changed firm · fact
- D••••• J••••• C•••••• left C••••• I••••••••• A••••••• L•• for O•••• F•• I••• (registered 2022-05-26)May 27, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address