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.
R••••• L•• M••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 15, 2023 · Birmingham, Al
- S•••••• S••••••••• I••• BD affiliatedAug 12, 2019 to Dec 12, 2023 · Birmingham, Al
- C•••• F•••••••• A••••••• formerMay 2, 2019 to Aug 5, 2019 · Birmingham, Al
- S•••••• S••••••••• I••• BD affiliatedSep 30, 2015 to Apr 29, 2019 · Birmingham, Al
- P•• W••••• M••••••••• BD affiliatedDec 21, 2012 to Sep 14, 2015 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDJun 24, 2008 to May 12, 2010 · Birmingham, Al
- S•••••• S••••••••• I••• to L•• F•••••••• L••left Dec 12, 2023, registered Dec 15, 2023 (3 days) · RIA to affiliated broker-dealer or bank
- C•••• F•••••••• A••••••• to S•••••• S••••••••• I•••left Aug 5, 2019, registered Aug 12, 2019 (7 days) · RIA to affiliated broker-dealer or bank
- S•••••• S••••••••• I••• to C•••• F•••••••• A•••••••left Apr 29, 2019, registered May 2, 2019 (3 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to S•••••• S••••••••• I•••left Sep 14, 2015, registered Sep 30, 2015 (16 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left May 12, 2010, registered Dec 21, 2012 (954 days) · Other
- R••••• L•• M•••• left S•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-12-15)Dec 12, 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