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.
A••••• F•••••••• Z•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 13, 2021 · New Orleans, La
- E•••••• C•••••• A••••••••• mixed wealthOct 12, 2012 to Feb 5, 2014 · New Orleans, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2008 to Jul 19, 2011 · Westborough, Ma
- E•••••• C•••••• A••••••••• to J••• M••••• S••••••••• L••left Feb 5, 2014, registered Dec 13, 2021 (2868 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• A•••••••••left Jul 19, 2011, registered Oct 12, 2012 (451 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address