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•••• D•••••• W•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 2, 2022 · Birmingham, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 9, 2016 to Nov 16, 2022 · Birmingham, Al
- F•• S••••••••• C••••••••• formerMay 2, 2014 to Aug 8, 2016 · Birmingham, Al
- L•• F•••••••• L•• BD affiliatedMay 31, 2013 to Apr 8, 2014 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 15, 2008 to Jun 3, 2013 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseSep 14, 2007 to Dec 17, 2008 · Birmingham, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 16, 2022, registered Nov 2, 2022 (-14 days) · Affiliated broker-dealer or bank to another
- F•• S••••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 8, 2016, registered Aug 9, 2016 (1 days) · Other · moved with a team
- L•• F•••••••• L•• to F•• S••••••••• C•••••••••left Apr 8, 2014, registered May 2, 2014 (24 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 3, 2013, registered May 31, 2013 (-3 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 17, 2008, registered Sep 15, 2008 (-93 days) · Wirehouse to wirehouse
- J•••• D•••••• W••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-11-02)Nov 16, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address