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.
G••••• H•••• B••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Daphne, Al
- A••••••• P••••••••• A•••••••• I•• formerDec 20, 2013 to Oct 11, 2024 · Holbrook, Ny
- L•• F•••••••• L•• BD affiliatedAug 29, 2003 to Dec 20, 2013 · Daphne, Al
- W•••• F•••• A••••••• wirehouseNov 2, 2000 to Sep 15, 2003 · Panama City, Fl
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Dec 20, 2013, registered Dec 20, 2013 (0 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 15, 2003, registered Aug 29, 2003 (-17 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