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.
K•••• L•• C••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 1, 2013 · Inverness, Al
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Feb 4, 2013 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 6, 2010 to Oct 15, 2010 · Birmingham, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedDec 24, 2008 to Mar 16, 2010 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 3, 2004 to Dec 16, 2008 · Birmingham, Al
- P•• M•••••• A•••••• S••••••••• I••• to L•• F•••••••• L••left Feb 4, 2013, registered Feb 1, 2013 (-3 days) · Other
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Mar 16, 2010, registered Apr 6, 2010 (21 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• C•••••• I••••••••• S••••••••• I••left Dec 16, 2008, registered Dec 24, 2008 (8 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
- 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