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.
N•••••••• L•••••••
- E••••• J•••• national BD currentsince Mar 13, 2023 · Tuscaloosa, Al
- P••• A••••• S••••••••• L•• BD affiliatedJan 13, 2023 to Feb 17, 2023 · Birmingham, Al
- O••••••••• S••••••••• I••• BD affiliatedOct 12, 2021 to Dec 6, 2022 · Hoover, Al
- P••• A••••• S••••••••• L•• to E••••• J••••left Feb 17, 2023, registered Mar 13, 2023 (24 days) · Affiliated broker-dealer or bank to another
- O••••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Dec 6, 2022, registered Jan 13, 2023 (38 days) · Affiliated broker-dealer or bank to another · moved with a team
- N•••••••• L••••••• left P••• A••••• S••••••••• L•• for E••••• J•••• (registered 2023-03-13)Feb 17, 2023 · Advisor changed firm · fact
- N•••••••• L••••••• left O••••••••• S••••••••• I••• for P••• A••••• S••••••••• L•• (registered 2023-01-13)Dec 6, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address