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•••• P•••••• M••••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Jun 24, 2015 · Natchez, Ms
- J•• C•••••• A•••••••• L•• formerSep 30, 2010 to Jun 23, 2015 · Tampa, Fl
- G•••••••• F••••••••• I•• unclassifiedJun 5, 2006 to Mar 30, 2010 · Natchez, Ms
- S••••• I••••••••• A•••••••• L•• BD affiliatedJan 23, 2006 to Jun 5, 2006 · Natchez, Ms
- J•• C•••••• A•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jun 23, 2015, registered Jun 24, 2015 (1 days) · Other · moved with a team
- G•••••••• F••••••••• I•• to J•• C•••••• A•••••••• L••left Mar 30, 2010, registered Sep 30, 2010 (184 days) · Other
- S••••• I••••••••• A•••••••• L•• to G•••••••• F••••••••• I••left Jun 5, 2006, registered Jun 5, 2006 (0 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