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•••••• B•••• B•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 16, 2025 · Tuscaloosa, Al
- M••••• S•••••• wirehouseAug 23, 2019 to Jan 16, 2025 · Tuscaloosa, Al
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Aug 26, 2019 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 6, 2010 to Oct 15, 2010 · Northport, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedAug 3, 2005 to Mar 16, 2010 · Jasper, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Aug 8, 2005 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2003 to Aug 18, 2003 · Tuscaloosa, Al
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Jan 16, 2025, registered Jan 16, 2025 (0 days) · Wirehouse to affiliated broker-dealer or bank
- P•• M•••••• A•••••• S••••••••• I••• to M••••• S••••••left Aug 26, 2019, registered Aug 23, 2019 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 16, 2010, registered Apr 6, 2010 (21 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to B••• C•••••• I••••••••• S••••••••• I••left Aug 8, 2005, registered Aug 3, 2005 (-5 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Aug 18, 2003, registered Jul 10, 2003 (-39 days) · Other
- B•••••• B•••• B••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2025-01-16)Jan 16, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address