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.
- E••••• J•••• national BD currentsince Mar 6, 2015 · Ruston, La
- A••••• A•••••••• I••• i••••••••• wealthAug 21, 2014 to Mar 6, 2015 · Ruston, La
- L•• F•••••••• L•• BD affiliatedJul 31, 2014 to Aug 18, 2014 · Ruston, La
- M••••••• I••••••••• N•••••• I••• BD affiliatedAug 11, 2011 to Aug 25, 2014 · Dallas, Tx
- E••••• J•••• national BDOct 15, 2007 to Aug 15, 2011 · Shreveport, La
- A••••• A•••••••• I••• to E••••• J••••left Mar 6, 2015, registered Mar 6, 2015 (0 days) · Other
- M••••••• I••••••••• N•••••• I••• to L•• F•••••••• L••left Aug 25, 2014, registered Jul 31, 2014 (-25 days) · Other
- L•• F•••••••• L•• to A••••• A•••••••• I•••left Aug 18, 2014, registered Aug 21, 2014 (3 days) · Other
- E••••• J•••• to M••••••• I••••••••• N•••••• I•••left Aug 15, 2011, registered Aug 11, 2011 (-4 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address