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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- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 4, 2025 · Vestavia Hills, Al
- C••••••••• F•••••••• N•••••• national BDNov 30, 2021 to Aug 7, 2025 · Vestavia Hills, Al
- D•••••••• • C•••••• L•• BD affiliatedApr 27, 2015 to Nov 2, 2021 · Greensboro, Nc
- C••••••••• F•••••••• N•••••• to K••••• A••••••• S•••••••• L••left Aug 7, 2025, registered Aug 4, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- D•••••••• • C•••••• L•• to C••••••••• F•••••••• N••••••left Nov 2, 2021, registered Nov 30, 2021 (28 days) · Affiliated broker-dealer or bank to another
- E•••••••• V•••••• A••••• left C••••••••• F•••••••• N•••••• for K••••• A••••••• S•••••••• L•• (registered 2025-08-04)Aug 7, 2025 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address