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.
R•••••• B••••••
- P•• W••••• M••••••••• BD affiliated currentsince Apr 10, 2012 · Mobile, Al
- R•• C•••••• M••••••• L•• national BDMar 16, 2007 to Apr 4, 2012 · Charlotte, Nc
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Mar 27, 2007 · Mobile, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJan 28, 2004 to Feb 13, 2007 · Mobile , Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 12, 1998 to Jan 2, 2004 · Mobile, Al
- R•• C•••••• M••••••• L•• to P•• W••••• M•••••••••left Apr 4, 2012, registered Apr 10, 2012 (6 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 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jan 2, 2004, registered Jan 28, 2004 (26 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address