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.
W•••••• S•••• W••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 2, 2023 · Shreveport, La
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Nov 8, 2023 · Shreveport, La
- M••••• K••••• • C••••••• L•• formerNov 24, 2004 to Feb 13, 2013 · Shreveport, La
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 8, 2023, registered Nov 2, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- W•••••• S•••• W•••••• left R•••••• J•••• • A••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-11-02)Nov 8, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address