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••••• M••••• S••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 16, 2025 · Hamilton, Al
- L•• F•••••••• L•• BD affiliatedSep 6, 2022 to Dec 16, 2025 · North Birmingham, Al
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 30, 2019 to Sep 6, 2022 · Birmingham, Al
- A••••••••• F•••••••• S•••••••• L•• national BDJul 3, 2018 to Oct 29, 2019 · Gadsen, Al
- I••••••••• P••••••••• I••• formerDec 2, 2016 to Sep 25, 2018 · Odenville, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 29, 2016 to Dec 5, 2016 · Gadsden, Al
- E••••• J•••• national BDAug 24, 2009 to Aug 5, 2016 · St Louis, Mo
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Dec 16, 2025, registered Dec 16, 2025 (0 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 6, 2022, registered Sep 6, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 29, 2019, registered Oct 30, 2019 (1 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 25, 2018, registered Jul 3, 2018 (-84 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• P••••••••• I•••left Dec 5, 2016, registered Dec 2, 2016 (-3 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 5, 2016, registered Jul 29, 2016 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- R••••• M••••• S•••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-12-16)Dec 16, 2025 · Advisor changed firm · fact
- R••••• M••••• S•••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2022-09-06)Sep 6, 2022 · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address