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.
N•••• B• H••••••
- I••••••••• A••••••• P•••••••• L•• independent RIA currentsince Apr 30, 2024 · Hixson, Tn
- S••••• F••••••••• L•• BD affiliatedJan 4, 2024 to Apr 29, 2024 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDJul 20, 2018 to Jan 16, 2024 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 22, 2011 to Jul 23, 2018 · Columbus, Ga
- S•••••• S••••••••• I••• BD affiliatedFeb 21, 2003 to Nov 1, 2006 · Columbus, Ga
- S••••• F••••••••• L•• to I••••••••• A••••••• P•••••••• L••left Apr 29, 2024, registered Apr 30, 2024 (1 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to S••••• F••••••••• L••left Jan 16, 2024, registered Jan 4, 2024 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 23, 2018, registered Jul 20, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 1, 2006, registered Aug 22, 2011 (1755 days) · Other
- N•••• B• H•••••• left S••••• F••••••••• L•• for I••••••••• A••••••• P•••••••• L•• (registered 2024-04-30)Apr 29, 2024 · Advisor changed firm · fact
- N•••• B• H•••••• left A••••••••• F•••••••• S•••••••• L•• for S••••• F••••••••• L•• (registered 2024-01-04)Jan 16, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address