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.
J••••••• R•••••• C••••••• G••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 8, 2016 · Biloxi, Ms
- E••••• J•••• national BDJul 15, 2013 to Jan 11, 2016 · Picayune, Ms
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIASep 25, 2009 to Jul 15, 2013 · Poplarville, Ms
- E••••• J•••• national BDAug 14, 2007 to Feb 8, 2008 · Gulfport, Ms
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2016, registered Jan 8, 2016 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- H•••••• W•••••• I••••••••• S••••••• I••• to E••••• J••••left Jul 15, 2013, registered Jul 15, 2013 (0 days) · Other
- E••••• J•••• to H•••••• W•••••• I••••••••• S••••••• I•••left Feb 8, 2008, registered Sep 25, 2009 (595 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