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.
- M••••• S•••••• wirehouse currentsince May 10, 2024 · Tuscaloosa, Al
- P•• W••••• M••••••••• BD affiliatedAug 18, 2021 to May 16, 2024 · Birmingham, Al
- P•• M•••••• A•••••• S••••••••• I••• formerAug 15, 2013 to Aug 17, 2021 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• formerNov 30, 2007 to Aug 15, 2013 · Birmingham, Al
- E•••••••• A•••••••• L•• national BDJun 26, 2002 to Jun 9, 2003 · Birmingham, Al
- P•• W••••• M••••••••• to M••••• S••••••left May 16, 2024, registered May 10, 2024 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 18, 2021 (1 days) · corporate re-registration, not a move
- C•••••••• F•••••••• G•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Aug 15, 2013, registered Aug 15, 2013 (0 days) · Other
- E•••••••• A•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Jun 9, 2003, registered Nov 30, 2007 (1635 days) · Other
- D••••• L•• J••• left P•• W••••• M••••••••• for M••••• S•••••• (registered 2024-05-10)May 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address