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••• R••••• B••••
- E••••••••• W••••• A•••••••• L•• independent RIA currentsince Apr 1, 2019 · Homewood, Al
- A••••••• W••••• A••••••• L•• independent RIASep 24, 2014 to Apr 11, 2019 · Helena, Al
- N••• F•••••••• G••••• I••• formerNov 13, 2013 to Sep 4, 2014 · Hoover, Al
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 4, 2008 to Nov 21, 2013 · Birmingham, Al
- S••••• A••• A•••• M••••••••• I••• formerJul 24, 2007 to Aug 1, 2008 · Birmingham, Al
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 22, 2007 to Jun 29, 2007 · Mt Pleasant, Sc
- A••••••• W••••• A••••••• L•• to E••••••••• W••••• A•••••••• L••left Apr 11, 2019, registered Apr 1, 2019 (-10 days) · RIA to RIA
- N••• F•••••••• G••••• I••• to A••••••• W••••• A••••••• L••left Sep 4, 2014, registered Sep 24, 2014 (20 days) · Other
- V•••• F•••••••• A•••••••• I••• to N••• F•••••••• G••••• I•••left Nov 21, 2013, registered Nov 13, 2013 (-8 days) · Other
- S••••• A••• A•••• M••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Aug 1, 2008, registered Sep 4, 2008 (34 days) · Other
- V••• F•••••••• A•••••••• I••• to S••••• A••• A•••• M••••••••• I•••left Jun 29, 2007, registered Jul 24, 2007 (25 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address