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•••••• R••• T•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 21, 2021 · Shreveport, La
- M••••• S•••••• wirehouseDec 19, 2014 to Jun 8, 2021 · Shreveport, La
- N•• E•••••• S••••••••• C••••••••• formerSep 24, 2010 to Dec 22, 2014 · Shreveport, La
- W••••••• F•••••••• S•••••••• I••• formerAug 24, 2007 to Sep 16, 2010 · Shreveport, La
- N•• E•••••• S••••••••• C••••••••• formerMar 20, 2006 to Sep 5, 2007 · Shreveport, La
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jun 8, 2021, registered May 21, 2021 (-18 days) · Wirehouse to affiliated broker-dealer or bank
- N•• E•••••• S••••••••• C••••••••• to M••••• S••••••left Dec 22, 2014, registered Dec 19, 2014 (-3 days) · Other
- W••••••• F•••••••• S•••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Sep 16, 2010, registered Sep 24, 2010 (8 days) · Other
- N•• E•••••• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••left Sep 5, 2007, registered Aug 24, 2007 (-12 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address