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••••• A••• G•••••••
- W•••••• A•••••••• L•• independent RIA currentsince Apr 28, 2017 · Birmingham, Al
- K•••••••• L•• formerApr 27, 2015 to Feb 23, 2018 · Birmingham, Al
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 23, 2011 to Apr 1, 2015 · Birmingham, Al
- K•••••••• L•• to W•••••• A•••••••• L••left Feb 23, 2018, registered Apr 28, 2017 (-301 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to K•••••••• L••left Apr 1, 2015, registered Apr 27, 2015 (26 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address