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••••• M•••••• M••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Auburn, Al
- M••••• S•••••• wirehouseJul 22, 2016 to Apr 6, 2022 · Opelika, Al
- P•• M•••••• A•••••• S••••••••• I••• formerAug 23, 2012 to Jul 25, 2016 · Auburn, Al
- W•••• F•••• A••••••• wirehouseJun 4, 2008 to Sep 23, 2010 · Birmingham, Al
- M••••• S•••••• to C••••• I••••••••• A••••••• L••left Apr 6, 2022, registered Mar 21, 2024 (715 days) · Wirehouse to affiliated broker-dealer or bank
- P•• M•••••• A•••••• S••••••••• I••• to M••••• S••••••left Jul 25, 2016, registered Jul 22, 2016 (-3 days) · Other
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Sep 23, 2010, registered Aug 23, 2012 (700 days) · Other
- A••••• M•••••• M•••• left M••••• S•••••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Apr 6, 2022 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address