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.
A•••••• D•••••• S•••••
- A•• W••••• M••••••••• L•• state registered currentsince Oct 29, 2019 · Hoover, Al
- T•••••• W••••• A•••••••• I••• formerJul 28, 2017 to Jun 20, 2019 · Hoover, Al
- E•••• S••••••••• L•• BD affiliatedAug 8, 2003 to Jul 19, 2017 · Birmingham, Al
- T•••••• W••••• A•••••••• I••• to A•• W••••• M••••••••• L••left Jun 20, 2019, registered Oct 29, 2019 (131 days) · RIA to a state-registered adviser
- E•••• S••••••••• L•• to T•••••• W••••• A•••••••• I•••left Jul 19, 2017, registered Jul 28, 2017 (9 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address