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.
M•••••• S•••••• W•••••
- O•••• W•••••• I••• BD affiliated currentsince Mar 5, 2024 · Birmingham, Al
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Mar 6, 2024 · Birmingham, Al
- I••••• F•••••••• C••••••••• formerFeb 22, 2017 to Feb 21, 2018 · Birmingham, Al
- P•••• S••••••••• L•• no RAUMApr 23, 2015 to Feb 27, 2017 · Birmingham, Al
- I••••• F•••••••• C••••••••• formerSep 9, 2010 to Mar 4, 2015 · Duluth, Ga
- N•• A•••••• S•••••••• L•• formerMay 27, 2010 to Sep 13, 2010 · Birmingham, Al
- E•••••••• A•••••••• L•• national BDJun 7, 2007 to Jun 2, 2010 · Birmingham, Al
- L•• F•••••••• L•• to O•••• W•••••• I•••left Mar 6, 2024, registered Mar 5, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 21, 2018, registered Feb 14, 2018 (-7 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to I••••• F•••••••• C•••••••••left Feb 27, 2017, registered Feb 22, 2017 (-5 days) · Other
- I••••• F•••••••• C••••••••• to P•••• S••••••••• L••left Mar 4, 2015, registered Apr 23, 2015 (50 days) · Other
- N•• A•••••• S•••••••• L•• to I••••• F•••••••• C•••••••••left Sep 13, 2010, registered Sep 9, 2010 (-4 days) · Other
- E•••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Jun 2, 2010, registered May 27, 2010 (-6 days) · Other
- M•••••• S•••••• W••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2024-03-05)Mar 6, 2024 · a•••••• firm change · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address