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••••• W••••• Y••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 23, 2023 · Birmingham, Al
- O•••• F•• I••• formerMay 17, 2019 to Jan 20, 2023 · Fort Wayne, In
- C•••••••• F•••••••• G•••• A••••••• formerDec 4, 2015 to May 31, 2019 · Birmingham, Al
- P•••••••• A••••••• national BDJul 26, 2011 to Sep 23, 2015 · Birmingham, Al
- O•••• F•• I••• to L•• F•••••••• L••left Jan 20, 2023, registered Jan 23, 2023 (3 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• F•••••••• G•••• A••••••• to O•••• F•• I•••left May 31, 2019, registered May 17, 2019 (-14 days) · Affiliated broker-dealer or bank to another
- P•••••••• A••••••• to C•••••••• F•••••••• G•••• A•••••••left Sep 23, 2015, registered Dec 4, 2015 (72 days) · Other
- J••••• W••••• Y•••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2023-01-23)Jan 20, 2023 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address