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.
J••• H•••• S••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 4, 2019 · Mcallen, Tx
- S••••• F•••••••• G•••• I•• formerJul 3, 2012 to Dec 5, 2019 · Corpus Christi, Tx
- B••••••••• L•• formerJan 14, 2010 to Jul 3, 2012 · Chicago, Il
- M••••• K••••• • C••••••• L•• formerSep 14, 2007 to Jan 21, 2010 · Mandeville, La
- A••••••••• F•••••••• S•••••••• L•• national BDMay 18, 2000 to Sep 18, 2007 · Thibodaux, La
- S••••• F•••••••• G•••• I•• to A••••••••• F•••••••• S•••••••• L••left Dec 5, 2019, registered Dec 4, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- B••••••••• L•• to S••••• F•••••••• G•••• I••left Jul 3, 2012, registered Jul 3, 2012 (0 days) · Other
- M••••• K••••• • C••••••• L•• to B••••••••• L••left Jan 21, 2010, registered Jan 14, 2010 (-7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• K••••• • C••••••• L••left Sep 18, 2007, registered Sep 14, 2007 (-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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address