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••••• P••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Jan 25, 2023 · Vestavia Hills, Al
- A••••• W••••• M••••••••• independent RIADec 16, 2016 to Mar 3, 2021 · Little Rock, Ar
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Dec 21, 2016 · Cleveland, Al
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 16, 2007 to Oct 11, 2011 · Albertville, Al
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Apr 18, 2007 · Tuscaloosa, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedOct 27, 2005 to Feb 13, 2007 · Tuscaloosa, Al
- A••••• W••••• M••••••••• to S•••• F••• I••••••••• M••••••••• C••••left Mar 3, 2021, registered Jan 25, 2023 (693 days) · Other
- L•• F•••••••• L•• to A••••• W••••• M•••••••••left Dec 21, 2016, registered Dec 16, 2016 (-5 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Apr 18, 2007, registered Apr 16, 2007 (-2 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
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address