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•••••• C•••••• S••••
- G••••••• P•••••• W••••• state registered currentsince Jun 29, 2020 · Ridgeland, Ms
- L•• F•••••••• L•• BD affiliatedApr 1, 2019 to Apr 8, 2020 · Greenville, Ms
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 9, 2016 to Apr 1, 2019 · Ridgeland, Ms
- N•• A•••••• S•••••••• L•• formerMay 13, 2013 to May 9, 2016 · Ridgeland, Ms
- C••••••••• A••••••••• L•• unclassifiedAug 23, 2010 to May 13, 2013 · Flowood, Ms
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 17, 2009 · Ridgeland, Ms
- M••••• S•••••• • C•• L•• unclassifiedMay 27, 2008 to Jun 1, 2009 · Ridgeland, Ms
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 15, 2006 to May 19, 2008 · Ridgeland, Ms
- L•• F•••••••• L•• to G••••••• P•••••• W•••••left Apr 8, 2020, registered Jun 29, 2020 (82 days) · Affiliated broker-dealer or bank to a state-registered adviser
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 1, 2019, registered Apr 1, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left May 9, 2016, registered May 9, 2016 (0 days) · Other · moved with a team
- C••••••••• A••••••••• L•• to N•• A•••••• S•••••••• L••left May 13, 2013, registered May 13, 2013 (0 days) · Other
- M••••• S•••••• to C••••••••• A••••••••• L••left Dec 17, 2009, registered Aug 23, 2010 (249 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left May 19, 2008, registered May 27, 2008 (8 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address