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.
J••••• S•••••• R•••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Dec 5, 2021 · Metairie, La
- D••••• • C•••••• I••• formerOct 10, 2011 to Dec 3, 2021 · New Orleans, La
- M••••• K••••• • C••••••• L•• formerApr 7, 2006 to Oct 7, 2011 · New Orleans, La
- U•• F•••••••• S••••••• I••• wirehouseMay 17, 2004 to May 4, 2006 · New Orleans, La
- D••••• • C•••••• I••• to P••••••• F•••••••• S•••••••• I•••left Dec 3, 2021, registered Dec 5, 2021 (2 days) · RIA to RIA · moved with a team
- M••••• K••••• • C••••••• L•• to D••••• • C•••••• I•••left Oct 7, 2011, registered Oct 10, 2011 (3 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left May 4, 2006, registered Apr 7, 2006 (-27 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address