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••••••••• L•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 8, 2018 · Saint Louis, Mo
- C•••••• O•• A•••••••• L•• formerJun 6, 2017 to Jan 2, 2018 · Covington, La
- E•••••• C•••••• M••••••••• L•• formerMar 16, 2015 to Oct 1, 2015 · Alpharetta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2012 to Jan 15, 2015 · Atlanta, Ga
- M•• F•••••••• S•••••••• I••• formerSep 21, 2007 to Nov 26, 2007 · Metairie, La
- C•••••• O•• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 2, 2018, registered Jun 8, 2018 (157 days) · Other
- E•••••• C•••••• M••••••••• L•• to C•••••• O•• A•••••••• L••left Oct 1, 2015, registered Jun 6, 2017 (614 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Jan 15, 2015, registered Mar 16, 2015 (60 days) · Other
- M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 26, 2007, registered Nov 21, 2012 (1822 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address