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.
B•••••• L•••• B••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 29, 2022 · Metairie, La
- A••••••••• F•••••••• S•••••••• L•• national BDApr 29, 2011 to Mar 31, 2022 · New Orleans, La
- C•••• I••••••••• S••••••• C•••• formerAug 15, 2006 to Apr 29, 2011 · New Orleans, La
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Mar 31, 2022, registered Mar 29, 2022 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- C•••• I••••••••• S••••••• C•••• to A••••••••• F•••••••• S•••••••• L••left Apr 29, 2011, registered Apr 29, 2011 (0 days) · Other
- B•••••• L•••• B•••••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2022-03-29)Mar 31, 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address