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.
A••••• H•••••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 25, 2025 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseMay 25, 2023 to Jun 24, 2025 · Birmingham, Al
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 2, 2021 to May 25, 2023 · Birmingham, Al
- P•• W••••• M••••••••• BD affiliatedOct 15, 2018 to Dec 6, 2021 · Birmingham, Al
- U•• F•••••••• S••••••• I••• wirehouseJul 7, 2016 to Oct 10, 2018 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 1, 2012 to Jul 8, 2016 · Birmingham, Al
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 24, 2025, registered Jun 25, 2025 (1 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••left May 25, 2023, registered May 25, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left Dec 6, 2021, registered Dec 2, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Oct 10, 2018, registered Oct 15, 2018 (5 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 8, 2016, registered Jul 7, 2016 (-1 days) · Wirehouse to wirehouse
- A••••• H•••••••• M•••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2025-06-25)Jun 24, 2025 · Advisor changed firm · fact
- A••••• H•••••••• M•••• left C••••• I••••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2023-05-25)May 25, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address