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.
L••••••• A• C••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 25, 2022 · Fairhope, Al
- L•••• F••• A••••••• S••••••• BD affiliatedAug 10, 2018 to Aug 26, 2022 · Montgomery, Al
- P••• A••••• S••••••••• L•• BD affiliatedMar 28, 2014 to Aug 6, 2018 · Montgomery, Al
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 28, 2012 to Feb 27, 2014 · Montgomery, Al
- L•••• F••• A••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 26, 2022, registered Aug 25, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to L•••• F••• A••••••• S•••••••left Aug 6, 2018, registered Aug 10, 2018 (4 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to P••• A••••• S••••••••• L••left Feb 27, 2014, registered Mar 28, 2014 (29 days) · Other
- L••••••• A• C•••• left L•••• F••• A••••••• S••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-08-25)Aug 26, 2022 · 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