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.
M••• H••••• H•••••
- W••••••••• C•••••• G••••• L•• mixed wealth currentsince Oct 24, 2017 · Ocean Springs, Ms
- F•••••••• M••••••••• S••••••••• L•• unclassifiedJul 5, 2011 to Oct 9, 2017 · Ocean Springs, Ms
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Apr 13, 2005 · Ocean Springs, Ms
- V••••• S••••••••• C••••••••• unclassifiedJul 12, 2002 to Nov 29, 2002 · Ocean Springs, Ms
- L••••• S••••• S••••••••• I••• unclassifiedMar 8, 2002 to Jan 1, 2004 · Ocean Springs, Ms
- F•••••••• M••••••••• S••••••••• L•• to W••••••••• C•••••• G••••• L••left Oct 9, 2017, registered Oct 24, 2017 (15 days) · Other · moved with a team
- V••• F•••••••• A•••••••• I••• to F•••••••• M••••••••• S••••••••• L••left Apr 13, 2005, registered Jul 5, 2011 (2274 days) · Other
- L••••• S••••• S••••••••• I••• to V••••• S••••••••• C•••••••••left Jan 1, 2004, registered Jul 12, 2002 (-538 days) · Other
- V••••• S••••••••• C••••••••• to V••• F•••••••• A•••••••• I•••left Nov 29, 2002, registered Jan 1, 2004 (398 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address