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.
F•••••••• L••••••• A••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Hoover, Al
- S••••••••• A•••••• A•••••••• I••• formerFeb 17, 2015 to Jun 14, 2024 · Birmingham, Al
- R•• A•••••••• L•• independent RIAAug 8, 2011 to Feb 17, 2015 · Birmingham, Al
- S••••••••• A•••••• A•••••••• I••• formerJun 28, 2004 to Aug 8, 2011 · Birmingham, Al
- O•••• F•• I••• formerDec 5, 2003 to Jul 1, 2004 · Birmingham, Al
- V••••••• I••••••••• A•••••••• I••• unclassifiedSep 16, 2003 to Dec 19, 2003 · Birmingham, Al
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- R•• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Feb 17, 2015, registered Feb 17, 2015 (0 days) · Other · moved with a team
- S••••••••• A•••••• A•••••••• I••• to R•• A•••••••• L••left Aug 8, 2011, registered Aug 8, 2011 (0 days) · Other
- O•••• F•• I••• to S••••••••• A•••••• A•••••••• I•••left Jul 1, 2004, registered Jun 28, 2004 (-3 days) · Other
- V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••left Dec 19, 2003, registered Dec 5, 2003 (-14 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
- 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