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.
B••••• T••••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 1, 2019 · Alexandria, La
- F•• S••••••••• C••••••••• formerMar 7, 2017 to Oct 3, 2019 · Alexandria, La
- C••••••••• F•••••••• N•••••• national BDNov 1, 2012 to Mar 6, 2017 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedAug 9, 2005 to Nov 19, 2012 · Alexandria, La
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Oct 3, 2019, registered Oct 1, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••••••• F•••••••• N•••••• to F•• S••••••••• C•••••••••left Mar 6, 2017, registered Mar 7, 2017 (1 days) · Other
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Nov 19, 2012, registered Nov 1, 2012 (-18 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address