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.
J•••• R•••••• D••••
- D•••• W••••• S••••••••• I••• state registered currentsince Aug 9, 2018 · Gulf Shores, Al
- F•••• A••••• A••••••• S•••••••• I••• formerOct 4, 2010 to Jul 27, 2018 · Gulf Shores, Al
- G•••••••• I••••••••• M••••••••• I••• unclassifiedDec 1, 2004 to Oct 7, 2010 · Gulf Shores, Al
- X•••• F•••••••• P•••••••• I••• unclassifiedAug 20, 2004 to Dec 1, 2004 · Gulf Shores, Al
- X•••• F•••••••• P•••••••• I••• unclassifiedJan 16, 2003 to Jul 26, 2004 · Foley, Al
- X•••• I••••••••• S•••••••• I••• unclassifiedFeb 27, 2001 to Jan 16, 2003 · Foley, Al
- F•••• A••••• A••••••• S•••••••• I••• to D•••• W••••• S••••••••• I•••left Jul 27, 2018, registered Aug 9, 2018 (13 days) · Affiliated broker-dealer or bank to a state-registered adviser
- G•••••••• I••••••••• M••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Oct 7, 2010, registered Oct 4, 2010 (-3 days) · Other
- X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••left Dec 1, 2004, registered Dec 1, 2004 (0 days) · Other
- X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••left Jan 16, 2003, registered Jan 16, 2003 (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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address