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.
A••••• C•••••••• M•••••
- E••••• J•••• national BD currentsince Apr 13, 2022 · St. Louis, Mo
- W••••••• F•••••••• S•••••••• I••• formerJul 22, 2019 to Apr 26, 2021 · New Orleans, La
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 25, 2016 to Jan 30, 2018 · Metairie, La
- C•••••• O•• A•••••••• L•• formerOct 6, 2015 to Apr 11, 2016 · Harvey, La
- W••••••• F•••••••• S•••••••• I••• to E••••• J••••left Apr 26, 2021, registered Apr 13, 2022 (352 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jan 30, 2018, registered Jul 22, 2019 (538 days) · Other
- C•••••• O•• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 11, 2016, registered Apr 25, 2016 (14 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address