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.
A••••• M•••• S••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 23, 2020 · Huntsville, Al
- P•• M•••••• A•••••• S••••••••• I••• formerJun 16, 2017 to Mar 23, 2020 · Decatur, Al
- A••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 10, 2016 to Jun 6, 2017 · Huntsville, Al
- P•• W••••• M••••••••• BD affiliatedNov 9, 2012 to Feb 25, 2014 · Huntsville, Al
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliatedOct 4, 2010 to Aug 26, 2011 · Durham, Nc
- W•••• F•••• A••••••• wirehouseJul 15, 2008 to Jul 22, 2010 · Huntsville, Al
- P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Mar 23, 2020, registered Mar 23, 2020 (0 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Jun 6, 2017, registered Jun 16, 2017 (10 days) · Other
- P•• W••••• M••••••••• to A••••••• F•••••••• A•••••••• L••left Feb 25, 2014, registered Feb 10, 2016 (715 days) · Other
- F•••• C••••••• I••••••• S•••••••• I••• to P•• W••••• M•••••••••left Aug 26, 2011, registered Nov 9, 2012 (441 days) · Other
- W•••• F•••• A••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Jul 22, 2010, registered Oct 4, 2010 (74 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
- 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