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.
D•••••• R••• K•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 8, 2017 · Metairie, La
- C•••••• A••••••• BD affiliatedNov 19, 2015 to Dec 31, 2016 · Lutcher, La
- L•••••• I••••••••• independent RIAAug 2, 2010 to Dec 31, 2016 · Cincinnati, Oh
- G•••• A••••••• A•••••••• I••• formerApr 3, 2008 to Aug 2, 2010 · Cincinnati, Oh
- C•••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2016, registered Feb 8, 2017 (39 days) · Other
- L•••••• I••••••••• to C•••••• A•••••••left Dec 31, 2016, registered Nov 19, 2015 (-408 days) · Other
- G•••• A••••••• A•••••••• I••• to L•••••• I•••••••••left Aug 2, 2010, registered Aug 2, 2010 (0 days) · corporate re-registration, not a move
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