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•••••• D••••• C••••••••
- E••••• J•••• national BD currentsince Sep 2, 2016 · Lumberton, Tx
- S••••• F•••••••• G•••• I•• formerJun 2, 2014 to Sep 2, 2016 · Beaumont, Tx
- L•• F•••••••• L•• BD affiliatedDec 9, 2008 to Jun 25, 2014 · Beaumont, Tx
- A•••••• A••••••• S••••••• formerJun 24, 2008 to Nov 25, 2008 · Nederland, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 28, 2008 to May 30, 2008 · Beaumont, Tx
- S••••• F•••••••• G•••• I•• to E••••• J••••left Sep 2, 2016, registered Sep 2, 2016 (0 days) · Other
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Jun 25, 2014, registered Jun 2, 2014 (-23 days) · Other
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Nov 25, 2008, registered Dec 9, 2008 (14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• A••••••• S•••••••left May 30, 2008, registered Jun 24, 2008 (25 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