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.
E••• C•••••• K•••••
- F•••• C•••••• A••••••• S••••••• BD affiliated currentsince Dec 15, 2015 · Fort Worth, Tx
- C••••• C••••••• L•• formerMar 12, 2013 to Apr 18, 2014 · Franklin, Tn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 20, 2006 to Jan 22, 2008 · Covington, La
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Feb 23, 2006 · Metairie, La
- B••• O•• S••••••••• C••••••••• unclassifiedJul 27, 2004 to Jul 6, 2005 · Metaire, La
- U•• F•••••••• S••••••• I••• wirehouseJul 12, 1999 to May 10, 2004 · New Orleans, La
- C••••• C••••••• L•• to F•••• C•••••• A••••••• S•••••••left Apr 18, 2014, registered Dec 15, 2015 (606 days) · Other
- T••••••• I••••••••• M••••••••• I••• to C••••• C••••••• L••left Jan 22, 2008, registered Mar 12, 2013 (1876 days) · Other
- C•••• I••••••••• S••••••• C•••• to T••••••• I••••••••• M••••••••• I•••left Feb 23, 2006, registered Apr 20, 2006 (56 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• O•• S••••••••• C•••••••••left May 10, 2004, registered Jul 27, 2004 (78 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address