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.
P••• R••••• H••••
- P•• W••••• M••••••••• BD affiliated currentsince Apr 8, 2020 · Pensacola, Fl
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAApr 24, 2017 to Apr 17, 2020 · New Orleans, La
- P•• W••••• M••••••••• BD affiliatedAug 1, 2013 to Apr 26, 2017 · Mobile, Al
- F•••• C•••••• F•••••••• P•••••••• I••• formerNov 27, 2012 to Jul 11, 2013 · Leesville, La
- H•••••• W•••••• I••••••••• S••••••• I••• to P•• W••••• M•••••••••left Apr 17, 2020, registered Apr 8, 2020 (-9 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to H•••••• W•••••• I••••••••• S••••••• I•••left Apr 26, 2017, registered Apr 24, 2017 (-2 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to P•• W••••• M•••••••••left Jul 11, 2013, registered Aug 1, 2013 (21 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
- 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