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••••• J•••• national BD currentsince Aug 17, 2009 · Decatur, Al
- C••••• I••••••••• S••••••• L•• formerNov 14, 2003 to Jul 21, 2009 · Decatur, Al
- C••••• A•••••• N••••••• L•• formerSep 9, 2002 to Nov 28, 2003 · Huntsville, Al
- C••••• I••••••••• S••••••• L•• to E••••• J••••left Jul 21, 2009, registered Aug 17, 2009 (27 days) · Other
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• S••••••• L••left Nov 28, 2003, registered Nov 14, 2003 (-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
- 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