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•••••• T••• A••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 8, 2022 · Anniston, Al
- P•• W••••• M••••••••• BD affiliatedAug 18, 2021 to Apr 12, 2022 · Jacksonville, Al
- P•• M•••••• A•••••• S••••••••• I••• formerOct 29, 2013 to Aug 17, 2021 · Oxford, Al
- S••••• A••• A•••• M••••••••• I••• formerJun 14, 2011 to May 14, 2013 · Anniston, Al
- S• J•••• W••••• M••••••••• unclassifiedApr 6, 2010 to Jul 9, 2010 · Oxford, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedSep 16, 2003 to Mar 16, 2010 · Anniston, Al
- P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 12, 2022, registered Apr 8, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 18, 2021 (1 days) · corporate re-registration, not a move
- S••••• A••• A•••• M••••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left May 14, 2013, registered Oct 29, 2013 (168 days) · Other
- S• J•••• W••••• M••••••••• to S••••• A••• A•••• M••••••••• I•••left Jul 9, 2010, registered Jun 14, 2011 (340 days) · Other
- 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•••••• T••• A•••• left P•• W••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-04-08)Apr 12, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address