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.
D••••• H••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Dec 2, 2021 · Charlotte, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 31, 2018 to Jun 17, 2019 · Birmingham, Al
- T•• A•••••••• I••• BD affiliatedJun 6, 2017 to Sep 4, 2018 · The Woodlands, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 13, 2016 to May 10, 2017 · Birmingham, Al
- T• A••••••••• I••• formerJun 13, 2016 to May 10, 2017 · Birmingham, Al
- L••••• F•••••••• G••••• L•• BD affiliatedNov 4, 2015 to May 31, 2016 · Houston, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I• F•••••••• A••••••• S••••••• L••left Jun 17, 2019, registered Dec 2, 2021 (899 days) · Affiliated broker-dealer or bank to another
- T•• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 4, 2018, registered Aug 31, 2018 (-4 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 10, 2017, registered Jun 13, 2016 (-331 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 10, 2017, registered Jun 13, 2016 (-331 days) · channel change inside one enterprise, not a move
- L••••• F•••••••• G••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left May 31, 2016, registered Jun 13, 2016 (13 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address