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.
T••••• W•••• H•••
- A• W••••• M••••••••• L•• BD affiliated currentsince Aug 8, 2017 · Birmingham, Al
- G••••• F•••••••• P•••••• C••••••• I••• formerJun 2, 2010 to Nov 8, 2017 · Birmingham, Al
- A•••••••• F•••••••• A•••••••• L•• state registeredApr 14, 2009 to Jun 2, 2010 · Miami Beach, Fl
- C•••••••• F•••••••• G•••• A••••••• formerFeb 5, 2009 to May 1, 2009 · Birmingham, Al
- G••••• F•••••••• P•••••• C••••••• I••• to A• W••••• M••••••••• L••left Nov 8, 2017, registered Aug 8, 2017 (-92 days) · Other
- A•••••••• F•••••••• A•••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Jun 2, 2010, registered Jun 2, 2010 (0 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to A•••••••• F•••••••• A•••••••• L••left May 1, 2009, registered Apr 14, 2009 (-17 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