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.
T••••• A•••••• N•••••
- M••••• S•••••• wirehouse currentsince Jun 1, 2009 · Birmingham, Al
- M••••• S•••••• • C•• L•• unclassifiedFeb 29, 2008 to Jun 1, 2009 · Birmingham, Al
- U•• F•••••••• S••••••• I••• wirehouseApr 6, 2006 to Mar 12, 2008 · Montgomery, Al
- A•••••• A•••• M••••••••• I••• unclassifiedOct 21, 2003 to May 4, 2006 · Birmingham, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJun 1, 2001 to Oct 21, 2003 · Birmingham, Al
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Mar 12, 2008, registered Feb 29, 2008 (-12 days) · Other
- A•••••• A•••• M••••••••• I••• to U•• F•••••••• S••••••• I•••left May 4, 2006, registered Apr 6, 2006 (-28 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to A•••••• A•••• M••••••••• I•••left Oct 21, 2003, registered Oct 21, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address