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.
C•••••• M••••••• S••••
- M•••••• A••••••• G••••• L•• independent RIA currentsince Sep 5, 2019 · Birmingham, Al
- B•• S••••••••• L•• independent RIAAug 19, 2014 to Sep 6, 2019 · Birmingham, Al
- B•• I••••••••• A••••••• independent RIAAug 19, 2014 to Sep 6, 2019 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• formerApr 9, 2012 to Sep 15, 2014 · Birmingham, Al
- J•••••• S•••••••• I••• otherNov 25, 2003 to Feb 28, 2012 · Birmingham, Al
- B•• S••••••••• L•• to B•• I••••••••• A•••••••left Sep 6, 2019, registered Aug 19, 2014 (-1844 days) · channel change inside one enterprise, not a move · moved with a team
- B•• I••••••••• A••••••• to M•••••• A••••••• G••••• L••left Sep 6, 2019, registered Sep 5, 2019 (-1 days) · RIA to a newly registered adviser · moved with a team
- S••••• A••• A•••• M••••••••• I••• to B•• S••••••••• L••left Sep 15, 2014, registered Aug 19, 2014 (-27 days) · Other
- J•••••• S•••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Feb 28, 2012, registered Apr 9, 2012 (41 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address