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.
B••• B••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 1, 2019 · Alexandria, La
- F•• S••••••••• C••••••••• formerAug 20, 2010 to Oct 3, 2019 · Alexandria, La
- W•••• F•••• A••••••• wirehouseMar 1, 2010 to Aug 3, 2010 · Alexandria, La
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Oct 3, 2019, registered Oct 1, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to F•• S••••••••• C•••••••••left Aug 3, 2010, registered Aug 20, 2010 (17 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address