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.
T••••• S•••••• B••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 11, 2016 · Montgomery, Al
- U•• F•••••••• S••••••• I••• wirehouseNov 26, 2012 to May 4, 2016 · Montgomery, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 2010 to Nov 28, 2012 · Montgomery, Al
- M••••• K••••• • C••••••• L•• formerMay 13, 2010 to Aug 17, 2010 · Montgomery, Al
- C••••••• A•••• M••••••••• I•• unclassifiedFeb 25, 2009 to Oct 30, 2009 · Montgomery, Al
- L•• F•••••••• L•• BD affiliatedSep 11, 2002 to Feb 25, 2009 · Ecelctric, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2001 to Jul 15, 2002 · Montgomery, Al
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 4, 2016, registered May 11, 2016 (7 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 28, 2012, registered Nov 26, 2012 (-2 days) · Wirehouse to wirehouse
- M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 17, 2010, registered Sep 16, 2010 (30 days) · Other
- C••••••• A•••• M••••••••• I•• to M••••• K••••• • C••••••• L••left Oct 30, 2009, registered May 13, 2010 (195 days) · Other
- L•• F•••••••• L•• to C••••••• A•••• M••••••••• I••left Feb 25, 2009, registered Feb 25, 2009 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jul 15, 2002, registered Sep 11, 2002 (58 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