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•••••• M•••••• F•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 21, 2023 · Austin, Tx
- S••••••••• A•••••• A•••••••• I••• formerMay 5, 2017 to Oct 2, 2023 · Birmingham, Al
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 16, 2011 to Apr 18, 2017 · Birmingham, Al
- T• A••••••••• I••• formerNov 16, 2011 to Apr 18, 2017 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 2004 to Nov 14, 2011 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDAug 4, 2000 to Dec 15, 2004 · Birmingham, Al
- S••••••••• A•••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••left Oct 2, 2023, registered Sep 21, 2023 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 18, 2017, registered Nov 16, 2011 (-1980 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 18, 2017, registered Nov 16, 2011 (-1980 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 14, 2011, registered Nov 16, 2011 (2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 15, 2004, registered Dec 3, 2004 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• M•••••• F••••• left S••••••••• A•••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-09-21)Oct 2, 2023 · 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