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.
G••••• C•••••• M•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 14, 2017 · Dothan, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 9, 2007 to Jul 25, 2017 · Dothan, Al
- C••••••• W••••• M••••••••• mixed wealthOct 6, 2004 to Mar 2, 2007 · Dothan, Al
- W•••• F•••• A••••••• wirehouseApr 1, 2004 to Oct 6, 2004 · Dothan, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 19, 2000 to Feb 21, 2003 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 25, 2017, registered Jul 14, 2017 (-11 days) · Wirehouse to wirehouse · moved with a team
- C••••••• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 2, 2007, registered Apr 9, 2007 (38 days) · Other
- W•••• F•••• A••••••• to C••••••• W••••• M•••••••••left Oct 6, 2004, registered Oct 6, 2004 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 21, 2003, registered Apr 1, 2004 (405 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