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.
C•••••• D•• G•••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Oct 18, 2023 · West Chester, Pa
- P•••• S••••••••• L•• no RAUMNov 23, 2020 to Oct 18, 2023 · Shreveport, La
- W•••• F•••• A••••••• wirehouseMar 21, 2017 to Nov 3, 2020 · Shreveport, La
- P•••• S••••••••• L•• to W••••••••• A••••••• P••••••• L••left Oct 18, 2023, registered Oct 18, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to P•••• S••••••••• L••left Nov 3, 2020, registered Nov 23, 2020 (20 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• D•• G••• left P•••• S••••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2023-10-18)Oct 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address