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.
S••••• R••• H•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 22, 2010 · Mobile, Al
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 22, 2010 · Birmingham, Al
- M••••• S•••••• • C•• L•• unclassifiedJun 9, 2008 to Jun 1, 2009 · Tuscaloosa, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 1, 2006 to Apr 26, 2008 · Tuscaloosa, Al
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 22, 2010, registered Dec 22, 2010 (0 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Apr 26, 2008, registered Jun 9, 2008 (44 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
- 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