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.
N••• R• P•••••
- N•••••• A••••••• BD affiliated currentsince Jul 2, 2020 · New Orleans, La
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jul 2, 2020 · New Orleans, La
- M••••• K••••• • C••••••• L•• formerJun 24, 2004 to Feb 13, 2013 · New Orleans, La
- A• G• E•••••• • S•••• I••• unclassifiedJun 18, 2004 to Jul 1, 2004 · Metairie, La
- R•••••• J•••• • A••••••••• I••• to N•••••• A•••••••left Jul 2, 2020, registered Jul 2, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to M••••• K••••• • C••••••• L••left Jul 1, 2004, registered Jun 24, 2004 (-7 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address