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.
D•• W••••• S•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Jul 20, 2018 · Shreveport, La
- L•• F•••••••• L•• BD affiliatedNov 3, 2016 to Jul 30, 2018 · Shreveport, La
- J• W• C••• A•••••••• I••• BD affiliatedJul 2, 2014 to Nov 22, 2016 · Shreveport, La
- F•••• A••••• A••••••• S•••••••• I••• formerJan 3, 2007 to Jul 9, 2014 · Chesterfield, Mo
- F•• A••••••• S••••••• I•• unclassifiedAug 21, 2002 to Jan 3, 2007 · Shreveport, La
- L•• F•••••••• L•• to J• W• C••• A•••••••• I•••left Jul 30, 2018, registered Jul 20, 2018 (-10 days) · RIA to RIA
- J• W• C••• A•••••••• I••• to L•• F•••••••• L••left Nov 22, 2016, registered Nov 3, 2016 (-19 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to J• W• C••• A•••••••• I•••left Jul 9, 2014, registered Jul 2, 2014 (-7 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 3, 2007, registered Jan 3, 2007 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address