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.
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- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 11, 2022 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• formerOct 28, 2019 to Apr 18, 2022 · Birmingham, Al
- L••• O•• P••••••• unclassifiedNov 3, 2017 to Dec 31, 2018 · Birmingham, Al
- J•••••• M••••••• W••••• M••••••••• L•• independent RIADec 28, 2015 to Feb 18, 2016 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseJul 14, 2014 to Jul 24, 2015 · Birmingham, Al
- L••••• F••••••••• I••• BD affiliatedSep 23, 2013 to Jul 2, 2014 · Birmingham, Al
- E•••••••• A•••••••• L•• national BDMay 25, 2010 to Sep 25, 2013 · Pensacola, Fl
- C•••••••• F•••••••• G•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 18, 2022, registered Apr 11, 2022 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••• O•• P••••••• to C•••••••• F•••••••• G•••• A•••••••left Dec 31, 2018, registered Oct 28, 2019 (301 days) · Other
- J•••••• M••••••• W••••• M••••••••• L•• to L••• O•• P•••••••left Feb 18, 2016, registered Nov 3, 2017 (624 days) · Other
- W•••• F•••• A••••••• to J•••••• M••••••• W••••• M••••••••• L••left Jul 24, 2015, registered Dec 28, 2015 (157 days) · Other
- L••••• F••••••••• I••• to W•••• F•••• A•••••••left Jul 2, 2014, registered Jul 14, 2014 (12 days) · Other
- E•••••••• A•••••••• L•• to L••••• F••••••••• I•••left Sep 25, 2013, registered Sep 23, 2013 (-2 days) · Other
- T••• N••••• left C•••••••• F•••••••• G•••• A••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-04-11)Apr 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address