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.
K•••••• D•••••• E••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Alexandria, La
- C•••• I••••••••• S••••••• C•••• formerFeb 11, 2010 to Oct 1, 2012 · Alexandria, La
- F•••• C•••••• F•••••••• P•••••••• I••• formerOct 10, 2007 to Feb 17, 2010 · Leesville, La
- E••••• J•••• national BDJan 16, 2007 to Jul 31, 2007 · Pineville, La
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- F•••• C•••••• F•••••••• P•••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 17, 2010, registered Feb 11, 2010 (-6 days) · Other
- E••••• J•••• to F•••• C•••••• F•••••••• P•••••••• I•••left Jul 31, 2007, registered Oct 10, 2007 (71 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address