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•••••••• L••••••• S••••••
- E••••• J•••• national BD currentsince Apr 26, 2023 · Gonzales, La
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 16, 2011 to Mar 7, 2013 · Baton Rouge, La
- A••••••••• F•••••••• S•••••••• L•• national BDSep 2, 2010 to Oct 1, 2010 · Baton Rouge, La
- R•• C•••••• M••••••• L•• national BDAug 8, 2007 to Sep 26, 2008 · Houston, Tx
- M••••• K••••• • C••••••• L•• formerJan 9, 2007 to May 17, 2007 · Baton Rouge, La
- U•• F•••••••• S••••••• I••• wirehouseMay 24, 2004 to Dec 20, 2005 · Houston, Tx
- A• G• E•••••• • S•••• I••• unclassifiedOct 7, 2003 to May 28, 2004 · Sugar Land, Tx
- W•••• F•••• I••••••••• L•• unclassifiedMay 1, 2002 to Oct 31, 2002 · Hosuton, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••••• J••••left Mar 7, 2013, registered Apr 26, 2023 (3702 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 1, 2010, registered Feb 16, 2011 (138 days) · Other
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 26, 2008, registered Sep 2, 2010 (706 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•• C•••••• M••••••• L••left May 17, 2007, registered Aug 8, 2007 (83 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Dec 20, 2005, registered Jan 9, 2007 (385 days) · Other
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left May 28, 2004, registered May 24, 2004 (-4 days) · Other
- W•••• F•••• I••••••••• L•• to A• G• E•••••• • S•••• I•••left Oct 31, 2002, registered Oct 7, 2003 (341 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address