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••••• W••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Birmingham, Al
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 28, 2024 to Mar 31, 2025 · Birmingham, Al
- M•••• W••••• M••••••••• L•• unclassifiedApr 11, 2023 to Jul 17, 2023 · Franklin, Tn
- V••••••• A•••••••• I••• BD affiliatedJan 12, 2017 to Apr 10, 2023 · Charlotte, Nc
- P••• A••••• S••••••••• L•• BD affiliatedDec 15, 2010 to May 10, 2016 · Birmingham, Al
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••• W••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 17, 2023, registered Mar 28, 2024 (255 days) · Other
- V••••••• A•••••••• I••• to M•••• W••••• M••••••••• L••left Apr 10, 2023, registered Apr 11, 2023 (1 days) · Other
- P••• A••••• S••••••••• L•• to V••••••• A•••••••• I•••left May 10, 2016, registered Jan 12, 2017 (247 days) · Other
- A••••• W•••• left M•••• W••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-03-28)Jul 17, 2023 · Advisor changed firm · fact
- A••••• W•••• left V••••••• A•••••••• I••• for M•••• W••••• M••••••••• L•• (registered 2023-04-11)Apr 10, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address