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.
E•••••• K••••• D••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Jan 12, 2021 · Monroe, La
- L•• F•••••••• L•• BD affiliatedJul 24, 2020 to Nov 27, 2020 · Monroe, La
- W•••• F•••• A••••••• wirehouseFeb 23, 2009 to Jul 27, 2020 · Monroe, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 24, 2003 to Dec 16, 2008 · Monroe, La
- L•• F•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Nov 27, 2020, registered Jan 12, 2021 (46 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 27, 2020, registered Jul 24, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 16, 2008, registered Feb 23, 2009 (69 days) · Wirehouse to wirehouse
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