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.
- O••••••• independent RIA currentsince Jun 22, 2026 · Beachwood, Oh
- K••••• A••••••• S•••••••• L•• BD affiliatedSep 21, 2023 to Sep 23, 2025 · Vestavia Hills, Al
- S••••••••• A•••••• A•••••••• I••• formerNov 15, 2012 to Oct 11, 2023 · La Vista, Ne
- L•• F•••••••• L•• BD affiliatedMay 11, 2005 to Dec 6, 2012 · Vestavia Hills, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJan 28, 2004 to May 19, 2005 · Pelham, Al
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedJul 19, 2002 to May 1, 2003 · Birmingham, Al
- K••••• A••••••• S•••••••• L•• to O•••••••left Sep 23, 2025, registered Jun 22, 2026 (272 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• A•••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••left Oct 11, 2023, registered Sep 21, 2023 (-20 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 6, 2012, registered Nov 15, 2012 (-21 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to L•• F•••••••• L••left May 19, 2005, registered May 11, 2005 (-8 days) · Other
- B••• C•••••• I••••••••• S••••••••• I•• to A•••••• I••••••••• M••••••••• C•••••• L••left May 1, 2003, registered Jan 28, 2004 (272 days) · Other
- M•••••• S•••• B•••• left K••••• A••••••• S•••••••• L•• for Oneseven (registered 2026-06-22)Sep 23, 2025 · Advisor changed firm · fact
- M•••••• S•••• B•••• left S••••••••• A•••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-09-21)Oct 11, 2023 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address