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.
F•••• L•••• S••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Apr 23, 2021 · Austin, Tx
- J•• C•••••• A•••••••• L•• formerNov 3, 2014 to Jun 23, 2015 · Natchez,, Ms
- M••••• K••••• • C••••••• L•• formerJan 4, 2011 to Mar 31, 2012 · Flowood, Ms
- E••••• J•••• national BDJul 10, 2009 to Feb 10, 2010 · St Louis, Mo
- J•• C•••••• A•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jun 23, 2015, registered Apr 23, 2021 (2131 days) · Other · moved with a team
- M••••• K••••• • C••••••• L•• to J•• C•••••• A•••••••• L••left Mar 31, 2012, registered Nov 3, 2014 (947 days) · Other
- E••••• J•••• to M••••• K••••• • C••••••• L••left Feb 10, 2010, registered Jan 4, 2011 (328 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address