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.
C••••••••• T•• S••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Decatur, Al
- A•••••• A••••••• S••••••• formerJul 10, 2025 to Sep 5, 2025 · Decatur, Al
- R•••••• J•••• • A••••••••• I••• national BDFeb 12, 2015 to Jul 11, 2025 · Decatur, Al
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 27, 2015 · Decatur, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 4, 2007 to Jun 1, 2009 · Decatur, Al
- A• G• E•••••• • S•••• I••• unclassifiedJul 28, 2005 to Dec 21, 2007 · Florence, Al
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to A•••••• A••••••• S•••••••left Jul 11, 2025, registered Jul 10, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Feb 27, 2015, registered Feb 12, 2015 (-15 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Dec 21, 2007, registered Dec 4, 2007 (-17 days) · Other
- C••••••••• T•• S•••• left R•••••• J•••• • A••••••••• I••• for A•••••• A••••••• S••••••• (registered 2025-07-10)Jul 11, 2025 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address