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.
T• R•• K•••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 9, 2022 · Decatur, Al
- W•••• F•••• A••••••• wirehouseJun 26, 2019 to Nov 9, 2022 · Huntsville, Al
- S••••• A••••••• I••• BD affiliatedJul 2, 2018 to Jun 14, 2019 · Huntsville, Al
- M••••• S•••••• wirehouseMay 5, 2017 to Feb 23, 2018 · Huntsville, Al
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Nov 9, 2022, registered Nov 9, 2022 (0 days) · channel change inside one enterprise, not a move · moved with a team
- S••••• A••••••• I••• to W•••• F•••• A•••••••left Jun 14, 2019, registered Jun 26, 2019 (12 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to S••••• A••••••• I•••left Feb 23, 2018, registered Jul 2, 2018 (129 days) · Wirehouse to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address