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.
B•••• A••• K•••••••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Jul 30, 2019 · Birmingham, Al
- S••••• A••••••• I••• BD affiliatedJun 11, 2018 to Jul 10, 2019 · Birmingham, Al
- P•• W••••• M••••••••• BD affiliatedOct 24, 2017 to Jun 15, 2018 · Birmingham, Al
- P•• M•••••• A•••••• S••••••••• I••• formerApr 4, 2017 to Oct 2, 2017 · Birmingham, Al
- O•••• F•• I••• formerDec 1, 2015 to Mar 23, 2017 · Birmingham, Al
- S•••••••• A••••••• L•• national BDOct 23, 2015 to Nov 19, 2015 · Birmingham, Al
- S•••• F••• I••••••••• M••••••••• C•••• asset managerNov 1, 2004 to Feb 14, 2006 · Montgomery, Al
- S••••• A••••••• I••• to S•••• F••• I••••••••• M••••••••• C••••left Jul 10, 2019, registered Jul 30, 2019 (20 days) · Other
- P•• W••••• M••••••••• to S••••• A••••••• I•••left Jun 15, 2018, registered Jun 11, 2018 (-4 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Oct 2, 2017, registered Oct 24, 2017 (22 days) · Other
- O•••• F•• I••• to P•• M•••••• A•••••• S••••••••• I•••left Mar 23, 2017, registered Apr 4, 2017 (12 days) · Other
- S•••••••• A••••••• L•• to O•••• F•• I•••left Nov 19, 2015, registered Dec 1, 2015 (12 days) · Other
- S•••• F••• I••••••••• M••••••••• C•••• to S•••••••• A••••••• L••left Feb 14, 2006, registered Oct 23, 2015 (3538 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
- 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