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.
D••••• J• R•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 6, 2016 · Opelika, Al
- B••• I••••••••• S•••••••• I••• formerAug 4, 2015 to Sep 2, 2016 · Charlotte, Nc
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedFeb 22, 2013 to Aug 12, 2015 · Wetumpka Al, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2009 to Jan 8, 2013 · Montgomery, Al
- C••••••• A•••• M••••••••• I•• unclassifiedJun 29, 2009 to Oct 29, 2009 · Montgomery, Al
- F•••• L••••• S••••••••• L•• unclassifiedJun 15, 2009 to Jun 29, 2009 · Montgomery, Al
- B••• I••••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 2, 2016, registered Sep 6, 2016 (4 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Aug 12, 2015, registered Aug 4, 2015 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Jan 8, 2013, registered Feb 22, 2013 (45 days) · Other
- C••••••• A•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 29, 2009, registered Dec 1, 2009 (33 days) · Other
- F•••• L••••• S••••••••• L•• to C••••••• A•••• M••••••••• I••left Jun 29, 2009, registered Jun 29, 2009 (0 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address