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.
W•••••• O••••• H•••••
- S••••• W••••• M••••••••• independent RIA currentsince Dec 4, 2023 · Birmingham, Al
- B••••••••• W••••• M••••••••• formerAug 26, 2013 to Mar 19, 2024 · Birmingham, Al
- A••••••• A••••••• S••••••• formerSep 30, 2004 to Aug 23, 2013 · Homewood, Al
- T•• A••••••• G••••• I••• unclassifiedSep 8, 2003 to Sep 30, 2004 · Birmingham, Al
- B••••••••• W••••• M••••••••• to S••••• W••••• M•••••••••left Mar 19, 2024, registered Dec 4, 2023 (-106 days) · RIA to RIA · moved with a team
- A••••••• A••••••• S••••••• to B••••••••• W••••• M•••••••••left Aug 23, 2013, registered Aug 26, 2013 (3 days) · Other
- T•• A••••••• G••••• I••• to A••••••• A••••••• S•••••••left Sep 30, 2004, registered Sep 30, 2004 (0 days) · Other
- W•••••• O••••• H••••• left B••••••••• W••••• M••••••••• for S••••• W••••• M••••••••• (registered 2023-12-04)Mar 19, 2024 · Advisor changed firm · fact
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