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•••••• wirehouse currentsince Aug 6, 2021 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 9, 2016 to Aug 10, 2021 · Montgomery, Al
- S•••••• S••••••••• I••• BD affiliatedSep 15, 2011 to May 10, 2016 · Columbus, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 11, 2011 to Sep 20, 2011 · Birmingham, Al
- T• A••••••••• I••• formerApr 11, 2011 to Sep 20, 2011 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedJan 28, 2003 to Nov 16, 2005 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 10, 2021, registered Aug 6, 2021 (-4 days) · Wirehouse to wirehouse
- S•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 10, 2016, registered May 9, 2016 (-1 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 20, 2011, registered Apr 11, 2011 (-162 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 20, 2011, registered Apr 11, 2011 (-162 days) · channel change inside one enterprise, not a move
- L••••• F••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 16, 2005, registered Apr 11, 2011 (1972 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address