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.
J••••••• T•••• J••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 31, 2022 · Oxford, Al
- L••••••• F•••••••• A•••••••• I••• independent RIASep 5, 2021 to Jan 3, 2022 · Huntsville, Al
- L••••••• F•••••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 3, 2022, registered Jan 31, 2022 (28 days) · RIA to affiliated broker-dealer or bank
- J••••••• T•••• J•••• left L••••••• F•••••••• A•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-31)Jan 3, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address