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.
F•••• A•••• Y•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• formerSep 15, 2020 to Feb 20, 2025 · Birmingham, Al
- E•••••••• A•••••••• L•• national BDMay 19, 2017 to Sep 15, 2020 · Trussville, Al
- E•••••••• A•••••••• L•• national BDJul 22, 2008 to Jul 1, 2010 · Trussville, Al
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jul 7, 2008 · Birmingham, Al
- M••••• S•••••• D• I••• unclassifiedSep 18, 2006 to Apr 2, 2007 · Birmingham, Al
- E•••••••• A•••••••• L•• national BDJan 7, 2005 to Sep 22, 2006 · Trussville, Al
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Sep 15, 2020, registered Sep 15, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• • C•• L•• to E•••••••• A•••••••• L••left Jul 7, 2008, registered Jul 22, 2008 (15 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M••••• S•••••• D• I•••left Sep 22, 2006, registered Sep 18, 2006 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address