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•••••• W••••• A••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Shreveport, La
- M••••• K••••• • C••••••• L•• formerFeb 13, 2007 to Feb 13, 2013 · Shreveport, La
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedFeb 7, 2005 to Feb 13, 2007 · Shreveport, La
- E•••••••• A•••••••• L•• national BDFeb 18, 1999 to Mar 5, 2004 · Shreveport, La
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to A•••••• I••••••••• M••••••••• C•••••• L••left Mar 5, 2004, registered Feb 7, 2005 (339 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