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.
H••••• N••••• G•••••
- M••••• S•••••• wirehouse currentsince Jul 1, 2013 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• formerJul 21, 2009 to Jul 9, 2013 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedDec 1, 2004 to Dec 12, 2006 · Birmingham, Al
- B•••••••• I••••••••• I••• otherJan 26, 2001 to Jul 21, 2009 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• to M••••• S••••••left Jul 9, 2013, registered Jul 1, 2013 (-8 days) · Other
- B•••••••• I••••••••• I••• to L••••• F••••••••• I•••left Jul 21, 2009, registered Dec 1, 2004 (-1693 days) · Other
- L••••• F••••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Dec 12, 2006, registered Jul 21, 2009 (952 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address