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.
Y••• Z•••
- A•••• • A••••••• G••••• P••••••• independent RIA currentsince Mar 26, 2021 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 7, 2015 to Mar 5, 2021 · Montgomery, Al
- S••••• A••• A•••• M••••••••• I••• formerOct 29, 2012 to Jul 7, 2015 · Montgomery, Al
- N••• F•••••••• G••••• I••• formerFeb 26, 2009 to Oct 17, 2012 · Montgomery, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 22, 2007 to Feb 12, 2009 · Montgomery, Al
- S•••••• N••••••• • C••••••• I••••••••• to A•••• • A••••••• G••••• P•••••••left Mar 5, 2021, registered Mar 26, 2021 (21 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to S••••• A••• A•••• M••••••••• I•••left Oct 17, 2012, registered Oct 29, 2012 (12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••• F•••••••• G••••• I•••left Feb 12, 2009, registered Feb 26, 2009 (14 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