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.
C••••••• E•••••• P•••••••
- E••••• J•••• national BD currentsince Feb 28, 2025 · Gulfport, Ms
- L•• F•••••••• L•• BD affiliatedApr 12, 2021 to Mar 11, 2025 · Gulfport, Ms
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAOct 7, 2019 to Apr 21, 2021 · New Orleans, La
- L•• F•••••••• L•• to E••••• J••••left Mar 11, 2025, registered Feb 28, 2025 (-11 days) · Affiliated broker-dealer or bank to another
- H•••••• W•••••• I••••••••• S••••••• I••• to L•• F•••••••• L••left Apr 21, 2021, registered Apr 12, 2021 (-9 days) · Affiliated broker-dealer or bank to another
- C••••••• E•••••• P••••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2025-02-28)Mar 11, 2025 · 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