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.
R••••• J••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 16, 2021 · Baton Rouge, La
- G••••• W••••• M••••••••• I••• BD affiliatedApr 27, 2012 to Nov 22, 2021 · Baton Rouge, La
- S•••••• M••••• L•• independent RIAMar 8, 2007 to Apr 27, 2012 · Gonzales, La
- S•• C•••••• A••••••• L•• institutionalMar 15, 2004 to Dec 31, 2006 · Houston, Tx
- G••••• W••••• M••••••••• I••• to L•• F•••••••• L••left Nov 22, 2021, registered Nov 16, 2021 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••• M••••• L•• to G••••• W••••• M••••••••• I•••left Apr 27, 2012, registered Apr 27, 2012 (0 days) · Other
- S•• C•••••• A••••••• L•• to S•••••• M••••• L••left Dec 31, 2006, registered Mar 8, 2007 (67 days) · corporate re-registration, not a move
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address