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.
M•• S•••••• W•••
- A••••••• W••••• A••••••• BD affiliated currentsince May 23, 2023 · Homewood, Al
- U•• F•••••••• S••••••• I••• wirehouseMar 25, 2009 to Jun 1, 2023 · Birmingham, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 12, 1999 to Apr 15, 2009 · Birmingham, Al
- U•• F•••••••• S••••••• I••• to A••••••• W••••• A•••••••left Jun 1, 2023, registered May 23, 2023 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Apr 15, 2009, registered Mar 25, 2009 (-21 days) · Other
- M•• S•••••• W••• left U•• F•••••••• S••••••• I••• for A••••••• W••••• A••••••• (registered 2023-05-23)Jun 1, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address