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••••• N••••• W••••
- S••••• W••••• M••••••••• independent RIA currentsince Jul 15, 2025 · Birmingham, Al
- N•• I••••• C•••••• independent RIAOct 16, 2023 to May 12, 2025 · Berkeley, Ca
- P•••••••• S••••••••• I••• BD affiliatedApr 27, 2017 to Sep 27, 2023 · Birmingham, Al
- N•• I••••• C•••••• to S••••• W••••• M•••••••••left May 12, 2025, registered Jul 15, 2025 (64 days) · RIA to RIA
- P•••••••• S••••••••• I••• to N•• I••••• C••••••left Sep 27, 2023, registered Oct 16, 2023 (19 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• N••••• W•••• left N•• I••••• C•••••• for S••••• W••••• M••••••••• (registered 2025-07-15)May 12, 2025 · Advisor changed firm · fact
- A••••• N••••• W•••• left P•••••••• S••••••••• I••• for N•• I••••• C•••••• (registered 2023-10-16)Sep 27, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address