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.
G••• S•••••• H•••••••••
- B•••• L•• F•••••••• G••••• L•• independent RIA currentsince Nov 16, 2023 · Baton Rouge, La
- M••••• S•••••• wirehouseOct 22, 2015 to Jul 24, 2023 · Lafayette, La
- J••• M••••• S••••••••• L•• wirehouseDec 17, 2014 to Aug 18, 2015 · Baton Rouge, La
- R•••••• J•••• • A••••••••• I••• national BDApr 19, 2011 to Oct 16, 2013 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 24, 2009 to Apr 8, 2011 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2009 to Nov 12, 2009 · The Woodlands, Tx
- M•• F•••••••• S•••••••• I••• formerJun 13, 2003 to May 10, 2004 · Pensacola, Fl
- M••••• S•••••• to B•••• L•• F•••••••• G••••• L••left Jul 24, 2023, registered Nov 16, 2023 (115 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to M••••• S••••••left Aug 18, 2015, registered Oct 22, 2015 (65 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to J••• M••••• S••••••••• L••left Oct 16, 2013, registered Dec 17, 2014 (427 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 8, 2011, registered Apr 19, 2011 (11 days) · Wirehouse to affiliated broker-dealer or bank
- M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 10, 2004, registered Oct 13, 2009 (1982 days) · Other
- G••• S•••••• H••••••••• left M••••• S•••••• for B•••• L•• F•••••••• G••••• L•• (registered 2023-11-16)Jul 24, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address