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•••• G••• R••
- S••••• A••••••• I••• BD affiliated currentsince Dec 14, 2018 · Madison, Ms
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 9, 2009 to Dec 31, 2018 · Ridgeland, Ms
- B••••••••• I••••••••• S•••••••• I••• formerJan 6, 2004 to Feb 9, 2009 · Flowood, Ms
- S•••••• N••••••• • C••••••• I••••••••• to S••••• A••••••• I•••left Dec 31, 2018, registered Dec 14, 2018 (-17 days) · Affiliated broker-dealer or bank to another
- B••••••••• I••••••••• S•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 9, 2009, registered Feb 9, 2009 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address