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••••• J•••• national BD currentsince Sep 9, 2022 · Gautier, Ms
- F•••• C•••••• A••••••• S••••••• BD affiliatedMay 6, 2021 to Oct 3, 2022 · Biloxi, Ms
- E••••• J•••• national BDJan 24, 2020 to Mar 4, 2021 · Ocean Springs, Ms
- F•••• C•••••• A••••••• S••••••• to E••••• J••••left Oct 3, 2022, registered Sep 9, 2022 (-24 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to F•••• C•••••• A••••••• S•••••••left Mar 4, 2021, registered May 6, 2021 (63 days) · Affiliated broker-dealer or bank to another
- A••••• M•• left F•••• C•••••• A••••••• S••••••• for E••••• J•••• (registered 2022-09-09)Oct 3, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address