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•••••• C•••••• L•••• P••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 9, 2011 · Birmingham, Al
- M••••• K••••• • C••••••• L•• formerJul 5, 2006 to Sep 12, 2011 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 4, 2005 to Jul 6, 2006 · Birmingham, Al
- M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 12, 2011, registered Sep 9, 2011 (-3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• K••••• • C••••••• L••left Jul 6, 2006, registered Jul 5, 2006 (-1 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address