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.
J••••• R••••• P•••••
- E••••• J•••• national BD currentsince Oct 23, 2020 · Birmingham, Al
- P•• M•••••• A•••••• S••••••••• I••• formerFeb 26, 2020 to Oct 23, 2020 · Birmingham, Al
- T• A••••••••• I••• formerDec 1, 2017 to Feb 20, 2020 · Birmingham, Al
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 1, 2017 to Feb 20, 2020 · Birmingham, Al
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 5, 2015 to Oct 30, 2017 · Birmingham, Al
- N••• F•••••• A•••• M••••••••• L•• formerJun 19, 2014 to Sep 14, 2015 · Pensacola, Fl
- E••••• J•••• national BDOct 3, 2011 to Jun 10, 2013 · Maryland Heights, Mo
- P•• M•••••• A•••••• S••••••••• I••• to E••••• J••••left Oct 23, 2020, registered Oct 23, 2020 (0 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 20, 2020, registered Dec 1, 2017 (-811 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 20, 2020, registered Dec 1, 2017 (-811 days) · Other
- C••••• I••••••••• A••••••• L•• to T• A••••••••• I•••left Oct 30, 2017, registered Dec 1, 2017 (32 days) · Other
- N••• F•••••• A•••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 14, 2015, registered Oct 5, 2015 (21 days) · Other
- E••••• J•••• to N••• F•••••• A•••• M••••••••• L••left Jun 10, 2013, registered Jun 19, 2014 (374 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address