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.
K•••• D• L•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 29, 2021 · Shreveport, La
- P••••••• A•••• M••••••••• G••••• C••••••••• ••••• independent RIAAug 14, 2018 to May 28, 2021 · Shreveport, La
- S•••••••• F••••••••• I••• formerAug 6, 2018 to Aug 13, 2018 · Shreveport, La
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 20, 2018 · Shreveport, La
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Shreveport, La
- M••••• S•••••• D• I••• unclassifiedNov 12, 2004 to Apr 2, 2007 · Shreveport, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 1, 1999 to Nov 16, 2004 · Shreveport, La
- P••••••• A•••• M••••••••• G••••• C••••••••• ••••• to L•• F•••••••• L••left May 28, 2021, registered Apr 29, 2021 (-29 days) · RIA to affiliated broker-dealer or bank
- S•••••••• F••••••••• I••• to P••••••• A•••• M••••••••• G••••• C••••••••• •••••left Aug 13, 2018, registered Aug 14, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to S•••••••• F••••••••• I•••left Jul 20, 2018, registered Aug 6, 2018 (17 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Nov 16, 2004, registered Nov 12, 2004 (-4 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address