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.
D••••• R•••••• W•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• formerFeb 11, 2010 to Feb 20, 2025 · Birmingham, Al
- F•••• L••••• S••••••••• L•• unclassifiedSep 30, 2008 to Feb 3, 2010 · Montgomery, Al
- S••••• F•••••••• S•••••••• I••• formerJun 22, 2005 to Sep 26, 2008 · Helena, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 16, 2002 to Jun 14, 2005 · Birmingham, Al
- P••••••••• E••••• G••••• L•• unclassifiedJun 29, 2000 to Aug 21, 2002 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- F•••• L••••• S••••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Feb 3, 2010, registered Feb 11, 2010 (8 days) · Other
- S••••• F•••••••• S•••••••• I••• to F•••• L••••• S••••••••• L••left Sep 26, 2008, registered Sep 30, 2008 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• F•••••••• S•••••••• I•••left Jun 14, 2005, registered Jun 22, 2005 (8 days) · Other
- P••••••••• E••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 21, 2002, registered Aug 16, 2002 (-5 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