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.
C••••••••• N•••• H•••••
- N••••••• 4•••• L•• institutional currentsince Jul 30, 2020 · Birmingham, Al
- S••••••••• A•••••• A•••••••• I••• formerNov 15, 2012 to Jul 14, 2016 · Vestavia Hills, Al
- L•• F•••••••• L•• BD affiliatedDec 20, 2011 to Dec 5, 2012 · Vestavia Hills, Al
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 7, 2010 to Sep 21, 2011 · Philadelphia, Pa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 9, 2007 to Dec 3, 2009 · Philadelphia, Pa
- S••••••••• A•••••• A•••••••• I••• to N••••••• 4•••• L••left Jul 14, 2016, registered Jul 30, 2020 (1477 days) · Other
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 5, 2012, registered Nov 15, 2012 (-20 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Sep 21, 2011, registered Dec 20, 2011 (90 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
- Institutional managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address