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.
- M••••• S•••••• wirehouse currentsince Nov 2, 2020 · Decatur, Al
- P•• M•••••• A•••••• S••••••••• I••• formerJan 3, 2013 to Oct 30, 2020 · Decatur, Al
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 19, 2008 to Nov 5, 2010 · Hartselle, Al
- P•• M•••••• A•••••• S••••••••• I••• to M••••• S••••••left Oct 30, 2020, registered Nov 2, 2020 (3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 5, 2010, registered Jan 3, 2013 (790 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address