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.
E••• T• K•••
- L•• F•••••••• L•• BD affiliated currentsince Oct 16, 2017 · Huntsville, Al
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Sep 28, 2017 · Arab, Al
- C••••• I••••••••• S••••••• L•• formerJun 21, 2013 to Jan 21, 2014 · Hoover, Al
- M••••• K••••• • C••••••• L•• formerFeb 21, 2007 to Mar 31, 2012 · Birmingham, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedMay 24, 2005 to Feb 21, 2007 · Guntersville, Al
- S••••••••• S••••••••• L•• unclassifiedOct 23, 2002 to Jan 23, 2003 · Arab, Al
- O•••• F•• I••• formerApr 25, 2000 to Oct 9, 2002 · Huntsville, Al
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 28, 2017, registered Oct 16, 2017 (18 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to C••••• I••••••••• S••••••• L••left Mar 31, 2012, registered Jun 21, 2013 (447 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 21, 2007, registered Feb 21, 2007 (0 days) · corporate re-registration, not a move
- S••••••••• S••••••••• L•• to A•••••• I••••••••• M••••••••• C•••••• L••left Jan 23, 2003, registered May 24, 2005 (852 days) · Other
- O•••• F•• I••• to S••••••••• S••••••••• L••left Oct 9, 2002, registered Oct 23, 2002 (14 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