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•••••• J••••• A•••••
- G•••••••• F•••••••• A•••••••• L•• institutional currentsince Dec 15, 2023 · Baton Rouge, La
- L•• F•••••••• L•• BD affiliatedNov 30, 2022 to Dec 12, 2023 · Baton Rouge, La
- O•••• I••••••••• I••• BD affiliatedMar 15, 2018 to Nov 30, 2022 · Baton Rouge, La
- L•• F•••••••• L•• BD affiliatedSep 19, 2011 to Mar 29, 2018 · Baton Rouge, La
- W••••• S••••• S••••••••• I••• formerAug 18, 2006 to Sep 27, 2011 · Baton Rouge, La
- L•• F•••••••• L•• to G•••••••• F•••••••• A•••••••• L••left Dec 12, 2023, registered Dec 15, 2023 (3 days) · Other
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 30, 2022, registered Nov 30, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Mar 29, 2018, registered Mar 15, 2018 (-14 days) · Other
- W••••• S••••• S••••••••• I••• to L•• F•••••••• L••left Sep 27, 2011, registered Sep 19, 2011 (-8 days) · Other
- C•••••• J••••• A••••• left L•• F•••••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2023-12-15)Dec 12, 2023 · Advisor changed firm · fact
- C•••••• J••••• A••••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-30)Nov 30, 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
- Institutional managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address