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•••• E•••••••• T•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 28, 2026 · Warrior, Al
- R•••••• J•••• • A••••••••• I••• national BDApr 20, 2022 to Dec 31, 2025 · St. Petersburg, Fl
- W•••• F•••• A••••••• wirehouseDec 12, 2016 to Apr 21, 2022 · Birmingham, Al
- C••••••••• W••••• M••••••••• formerSep 24, 2014 to Dec 27, 2016 · Birmingham, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 11, 2013 to Sep 8, 2014 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseFeb 12, 2009 to Jun 24, 2013 · Birmingham, Al
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2025, registered Jan 28, 2026 (28 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Apr 21, 2022, registered Apr 20, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• W••••• M••••••••• to W•••• F•••• A•••••••left Dec 27, 2016, registered Dec 12, 2016 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• W••••• M•••••••••left Sep 8, 2014, registered Sep 24, 2014 (16 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 24, 2013, registered Jul 11, 2013 (17 days) · Wirehouse to wirehouse
- S•••• E•••••••• T••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-20)Apr 21, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address