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•••••• M••••••• F••••••
- O••••••• A•••• M••••••••• L•• independent RIA currentsince Jul 1, 2025 · Brentwood, Tn
- C•••••••• F•••••••• G•••• A••••••• formerNov 13, 2013 to Aug 23, 2019 · Birmingham, Al
- L•• F•••••••• L•• BD affiliatedApr 30, 2007 to Nov 13, 2013 · Birmingham, Al
- F•••• C•••••• F•••••••• P•••••••• I••• formerMay 5, 2006 to Dec 18, 2006 · Montgomery, Al
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 23, 2005 to Mar 29, 2006 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• to O••••••• A•••• M••••••••• L••left Aug 23, 2019, registered Jul 1, 2025 (2139 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L•• F•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Nov 13, 2013, registered Nov 13, 2013 (0 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to L•• F•••••••• L••left Dec 18, 2006, registered Apr 30, 2007 (133 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•••• C•••••• F•••••••• P•••••••• I•••left Mar 29, 2006, registered May 5, 2006 (37 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address