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•••• L•• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 2, 2023 · Birmingham, Al
- S•••••• S••••••••• I••• BD affiliatedNov 26, 2012 to Jun 2, 2023 · Birmingham, Al
- S•••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 2, 2023, registered Jun 2, 2023 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A•••• L•• M•••••• left S•••••• S••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-06-02)Jun 2, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address