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.
S•••••• L•••• B•••
- W•••• F•••• A••••••• wirehouse currentsince Nov 9, 2022 · Decatur, Al
- W•••• F•••• A••••••• wirehouseFeb 15, 2019 to Nov 9, 2022 · Huntsville, Al
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 19, 2019 · Decatur, Al
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 27, 2009 to Jul 23, 2009 · Decatur, Al
- M••••• K••••• • C••••••• L•• formerJan 14, 2009 to Jun 4, 2009 · Decatur, Al
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 9, 2022, registered Nov 9, 2022 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 19, 2019, registered Feb 15, 2019 (-4 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jul 23, 2009, registered Jun 1, 2009 (-52 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 4, 2009, registered May 27, 2009 (-8 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address