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.
D•••••• A• L•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 8, 2016 · Shreveport, La
- M••••••• I••••••••• N•••••• I••• BD affiliatedDec 13, 2011 to Mar 3, 2016 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 21, 2008 to Dec 21, 2011 · Lafayette, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 18, 2003 to Nov 26, 2008 · Shreveport, La
- M••••••• I••••••••• N•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 3, 2016, registered Feb 8, 2016 (-24 days) · Other
- U•• F•••••••• S••••••• I••• to M••••••• I••••••••• N•••••• I•••left Dec 21, 2011, registered Dec 13, 2011 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 26, 2008, registered Nov 21, 2008 (-5 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address