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.
R••••• B••••• A•••••
- T••••• A•••• M••••••••• L•• independent RIA currentsince Dec 2, 2019 · Littleton, Co
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Dec 2, 2019 · Gibsland, La
- I••••••••• C•••••• O• A••••••• I••• formerAug 1, 2017 to Nov 29, 2017 · Athens, La
- S•• BD affiliatedNov 3, 2009 to Jul 31, 2017 · Gibsland, La
- L•• F•••••••• L•• to T••••• A•••• M••••••••• L••left Dec 2, 2019, registered Dec 2, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- S•• to I••••••••• C•••••• O• A••••••• I•••left Jul 31, 2017, registered Aug 1, 2017 (1 days) · Other · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address