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.
J••••••• H••••• F•••••
- E•••••••• A•••••••• L•• national BD currentsince Feb 20, 2013 · Trussville, Al
- L•• F•••••••• L•• BD affiliatedOct 11, 2011 to Feb 4, 2013 · Birmingham, Al
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedDec 8, 2010 to Oct 11, 2011 · Gardendale, Al
- M••••• K••••• • C••••••• L•• formerMar 1, 2007 to Nov 11, 2010 · Birmingham, Al
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Feb 4, 2013, registered Feb 20, 2013 (16 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- M••••• K••••• • C••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Nov 11, 2010, registered Dec 8, 2010 (27 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address