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.
M•••• R• W•••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Oct 25, 2023 · Gulfport, Ms
- O•••• I••••••••• I••• BD affiliatedAug 13, 2021 to Oct 27, 2021 · Gulfport, Ms
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAMay 17, 2011 to Jun 29, 2021 · Gulfport, Ms
- M••••• K••••• • C••••••• L•• formerFeb 16, 2010 to Apr 26, 2011 · Gulfport, Ms
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 14, 2009 to Jan 5, 2010 · Gulfport, Ms
- U•• F•••••••• S••••••• I••• wirehouseDec 2, 2003 to Aug 14, 2009 · Gulfport, Ms
- O•••• I••••••••• I••• to S•••••• W••••• P•••••••• L••left Oct 27, 2021, registered Oct 25, 2023 (728 days) · Affiliated broker-dealer or bank to another
- H•••••• W•••••• I••••••••• S••••••• I••• to O•••• I••••••••• I•••left Jun 29, 2021, registered Aug 13, 2021 (45 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Apr 26, 2011, registered May 17, 2011 (21 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to M••••• K••••• • C••••••• L••left Jan 5, 2010, registered Feb 16, 2010 (42 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 14, 2009, registered Aug 14, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address