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••• P•••••• B•••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Jun 12, 2017 · Daphne, Al
- W•• A•••••••• L• formerApr 27, 2011 to May 26, 2017 · Daphne, Al
- R••••••••• A•••• M••••••••• L•• unclassifiedJun 14, 2010 to Apr 27, 2011 · Daphne, Al
- G•••••••• F••••••••• I•• unclassifiedFeb 2, 2009 to Mar 29, 2010 · Daphne, Al
- W•• A•••••••• L• to I••••••••• A••••• I••••••••• M••••••••• L••left May 26, 2017, registered Jun 12, 2017 (17 days) · Other · moved with a team
- R••••••••• A•••• M••••••••• L•• to W•• A•••••••• L•left Apr 27, 2011, registered Apr 27, 2011 (0 days) · Other
- G•••••••• F••••••••• I•• to R••••••••• A•••• M••••••••• L••left Mar 29, 2010, registered Jun 14, 2010 (77 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address