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••• E••••• C••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Nov 20, 2014 · Alexandria, La
- L•• F•••••••• L•• BD affiliatedMar 21, 2018 to May 23, 2019 · Alexandria, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 20, 2003 to Nov 19, 2014 · Alexandria, La
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJun 3, 2002 to Jan 30, 2003 · Ponte Vedra Beach, Fl
- L•• F•••••••• L•• to no registered destinationleft May 23, 2019 · Departure, no registered destination
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Nov 19, 2014, registered Nov 20, 2014 (1 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 30, 2003, registered Jan 20, 2003 (-10 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address