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.
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R•••• A••• C•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 25, 2024 · Birmingham, Al
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jul 29, 2024 · Birmingham, Al
- B••• S••••••••• L•• formerMay 20, 2016 to Feb 17, 2021 · Birmingham, Al
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to May 25, 2016 · Birmingham, Al
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Feb 13, 2013 · Trussville, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJun 15, 2006 to Feb 13, 2007 · Memphis, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 30, 2004 to Jun 13, 2006 · Birmingham, Al
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 29, 2024, registered Jul 25, 2024 (-4 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to B••• S••••••••• L••left May 25, 2016, registered May 20, 2016 (-5 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jun 13, 2006, registered Jun 15, 2006 (2 days) · Other
- R•••• A••• C••••• left T••••• A••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2024-07-25)Jul 29, 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address