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••• H••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Nov 22, 2021 · Houma, La
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 4, 2018 · Fort Worth, Tx
- R•••••••• A••••••• S•••••••• L••• formerJan 18, 2016 to Feb 16, 2022 · Houma, La
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 16, 2015 to Nov 29, 2017 · Forth Worth, Tx
- M••••• S•••••• wirehouseJan 14, 2014 to Oct 19, 2015 · Houma, La
- A••••••• A••••••• S••••••• formerJan 10, 2012 to Nov 21, 2013 · Laurel, Ms
- L•• F•••••••• L•• BD affiliatedJun 13, 2008 to Jan 27, 2010 · Houma, La
- R•••••••• A••••••• S•••••••• L••• formerAug 16, 2005 to Sep 19, 2007 · Dallas, Tx
- R•••••••• A••••••• S•••••••• L••• to L•• F•••••••• L••left Feb 16, 2022, registered Nov 29, 2017 (-1540 days) · RIA to RIA
- L•• F•••••••• L•• to B••••• P••••• A•••••••• L••left Apr 4, 2018, registered Nov 22, 2021 (1328 days) · RIA to RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•••••••• A••••••• S•••••••• L•••left Nov 29, 2017, registered Jan 18, 2016 (-681 days) · Other
- M••••• S•••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 19, 2015, registered Oct 16, 2015 (-3 days) · Other
- A••••••• A••••••• S••••••• to M••••• S••••••left Nov 21, 2013, registered Jan 14, 2014 (54 days) · Other
- L•• F•••••••• L•• to A••••••• A••••••• S•••••••left Jan 27, 2010, registered Jan 10, 2012 (713 days) · Other
- R•••••••• A••••••• S•••••••• L••• to L•• F•••••••• L••left Sep 19, 2007, registered Jun 13, 2008 (268 days) · Other
- A•• L••• H•••••• left R•••••••• A••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2017-11-29)Feb 16, 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address