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•••••• N••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Flowood, Ms
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 6, 2013 to Nov 29, 2017 · Flowood, Ms
- S••••••••• A•••••• A•••••••• I••• formerMay 4, 2012 to Feb 7, 2013 · Ridgeland, Ms
- T•• A•••••••• I••• BD affiliatedAug 17, 2010 to Jun 8, 2012 · Flowood, Ms
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- S••••••••• A•••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Feb 7, 2013, registered Feb 6, 2013 (-1 days) · Other
- T•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jun 8, 2012, registered May 4, 2012 (-35 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address