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••• W•••••
- E••••• J•••• national BD currentsince Aug 3, 2023 · Crosby, Tx
- I•••••• A•••••••• I••• asset managerMay 18, 2015 to Jul 26, 2023 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 8, 2014 to May 14, 2015 · Thibodaux, La
- I•••••• A•••••••• I••• to E••••• J••••left Jul 26, 2023, registered Aug 3, 2023 (8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I•••••• A•••••••• I•••left May 14, 2015, registered May 18, 2015 (4 days) · Other
- E••• W••••• left I•••••• A•••••••• I••• for E••••• J•••• (registered 2023-08-03)Jul 26, 2023 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address