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.
V••••• T•••••• K•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 13, 2020 · Shreveport, La
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to May 13, 2020 · Shreveport, La
- C••••• I••••••••• S••••••• L•• formerMay 13, 2013 to Jan 21, 2014 · Shreveport, La
- E••••• J•••• national BDFeb 8, 2007 to Sep 20, 2012 · Gulfport, Ms
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left May 13, 2020, registered May 13, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C••••• I••••••••• S••••••• L••left Sep 20, 2012, registered May 13, 2013 (235 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address