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.
N••••• R••• N••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2022 · Mobile, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 5, 2021 to Aug 9, 2022 · Mobile, Al
- P•• M•••••• A•••••• S••••••••• I••• formerMay 28, 2019 to Aug 23, 2021 · Mobile, Al
- P•••• S••••••••• L•• no RAUMJul 13, 2018 to May 15, 2019 · Birmingham, Al
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIASep 23, 2015 to Sep 26, 2017 · New Orleans, La
- M••••• S•••••• wirehouseMay 1, 2014 to Oct 23, 2015 · Mobile, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• I••••••••• A••••••• L••left Aug 9, 2022, registered Aug 10, 2022 (1 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 23, 2021, registered Nov 5, 2021 (74 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left May 15, 2019, registered May 28, 2019 (13 days) · Affiliated broker-dealer or bank to another
- H•••••• W•••••• I••••••••• S••••••• I••• to P•••• S••••••••• L••left Sep 26, 2017, registered Jul 13, 2018 (290 days) · Other
- M••••• S•••••• to H•••••• W•••••• I••••••••• S••••••• I•••left Oct 23, 2015, registered Sep 23, 2015 (-30 days) · Other
- N••••• R••• N•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••• I••••••••• A••••••• L•• (registered 2022-08-10)Aug 9, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address