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••••• J•••• national BD currentsince Aug 1, 2012 · Sunset, La
- 1•• G••••• A••••••• I•• formerJul 21, 2009 to Aug 10, 2010 · Pineville, La
- L•• F•••••••• L•• BD affiliatedJan 21, 2005 to Sep 30, 2005 · Alexandria, La
- 1•• G••••• A••••••• I•• to E••••• J••••left Aug 10, 2010, registered Aug 1, 2012 (722 days) · Other
- L•• F•••••••• L•• to 1•• G••••• A••••••• I••left Sep 30, 2005, registered Jul 21, 2009 (1390 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address