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.
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- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 24, 2017 · Shreveport, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 29, 2014 to Oct 18, 2017 · Shreveport, La
- O••••••••• S••••••••• I••• BD affiliatedJun 21, 2013 to Oct 13, 2014 · Baton Rouge, La
- C•••• I••••••••• S••••••• C•••• formerMar 13, 2012 to Aug 1, 2012 · Shreveport, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 18, 2017, registered Oct 24, 2017 (6 days) · Wirehouse to affiliated broker-dealer or bank
- O••••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 13, 2014, registered Sep 29, 2014 (-14 days) · Other
- C•••• I••••••••• S••••••• C•••• to O••••••••• S••••••••• I•••left Aug 1, 2012, registered Jun 21, 2013 (324 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address