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.
G•••••• W•••••• G••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Jul 2, 2024 · Fort Worth, Tx
- P•••••••• S••••••••• I••• BD affiliatedJan 29, 2015 to Sep 15, 2016 · Birmingham, Al
- N••• F•••••••• G••••• I••• formerJun 9, 2014 to Nov 4, 2014 · Hoover, Al
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 8, 2011 to Apr 4, 2014 · Birmingham, Al
- P•••••••• S••••••••• I••• to F•••• C•••••• A••••••• S•••••••left Sep 15, 2016, registered Jul 2, 2024 (2847 days) · Other
- N••• F•••••••• G••••• I••• to P•••••••• S••••••••• I•••left Nov 4, 2014, registered Jan 29, 2015 (86 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to N••• F•••••••• G••••• I•••left Apr 4, 2014, registered Jun 9, 2014 (66 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address