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.
T•••• L•••• L••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 26, 2024 · Madison, Al
- S••••••••• A•••••• A•••••••• I••• formerJun 28, 2004 to Apr 1, 2024 · Decatur, Al
- O•••• F•• I••• formerDec 5, 2003 to Jun 30, 2004 · Decatur, Al
- V••••••• I••••••••• A•••••••• I••• unclassifiedJun 25, 2002 to Dec 12, 2003 · Decatur, Al
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Apr 1, 2024, registered Mar 26, 2024 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• F•• I••• to S••••••••• A•••••• A•••••••• I•••left Jun 30, 2004, registered Jun 28, 2004 (-2 days) · Other
- V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••left Dec 12, 2003, registered Dec 5, 2003 (-7 days) · Other
- T•••• L•••• L•••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-03-26)Apr 1, 2024 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address