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.
W•••••• R• W•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 17, 2023 · Birmingham, Al
- L•••••• I••••••••• M••••••••• I••• independent RIAMar 26, 2018 to Mar 10, 2023 · Birmingham, Al
- R•••••• J•••• • A••••••••• I••• national BDFeb 19, 2014 to Apr 3, 2018 · Birmingham, Al
- L•••••• I••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 10, 2023, registered Apr 17, 2023 (38 days) · RIA to wirehouse
- R•••••• J•••• • A••••••••• I••• to L•••••• I••••••••• M••••••••• I•••left Apr 3, 2018, registered Mar 26, 2018 (-8 days) · Other
- W•••••• R• W••••• left L•••••• I••••••••• M••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-04-17)Mar 10, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address