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•••••• D•••• W•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 28, 2024 · Metairie, La
- A••••••••• F•••••••• S•••••••• L•• national BDJun 12, 2020 to Mar 5, 2024 · Metairie, La
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 7, 2015 to Jun 22, 2020 · New Orleans, La
- S••••• A••• A•••• M••••••••• I••• formerJun 8, 2012 to Jul 7, 2015 · New Orleans, La
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 14, 2002 to Feb 28, 2012 · New Orleans, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 13, 2001 to Aug 13, 2002 · Covington, La
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 22, 2020, registered Jun 12, 2020 (-10 days) · Affiliated broker-dealer or bank to another
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
- S•••••• N••••••• • C••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••left Feb 28, 2012, registered Jun 8, 2012 (101 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 13, 2002, registered Aug 14, 2002 (1 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address