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•• E••••• B••••••
- C•••••• A••••••• BD affiliated currentsince Jul 24, 2014 · Slidell, La
- L•••••• I••••••••• independent RIA currentsince Sep 27, 2005 · Lutz, Fl
- P••••••••• S••••••••• C••••••••• independent RIAMar 24, 2004 to Sep 26, 2005 · Slidell, La
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Mar 23, 2004 · Des Moines, Ia
- L••••• S••••• S••••••••• I••• unclassifiedJan 29, 2003 to Jan 1, 2004 · Slidell, La
- P••••••••• S••••••••• C••••••••• to L•••••• I•••••••••left Sep 26, 2005, registered Sep 27, 2005 (1 days) · Other
- V••• F•••••••• A•••••••• I••• to P••••••••• S••••••••• C•••••••••left Mar 23, 2004, registered Mar 24, 2004 (1 days) · Other
- L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
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