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.
B•••• D••••• P•••••
- R•• F•••••••• N•••••• independent RIA currentsince Sep 20, 2018 · Covington, La
- O••• S••••• I••••••••• L•• independent RIAMay 10, 2018 to Sep 14, 2018 · Covington, La
- U•• F•••••••• S••••••••• L•• independent RIASep 9, 2015 to Oct 17, 2017 · Metairie, La
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 25, 2011 to Sep 23, 2015 · Covington, La
- P••• A••••• S••••••••• L•• BD affiliatedDec 5, 2003 to Jan 14, 2011 · Covington, La
- O••• S••••• I••••••••• L•• to R•• F•••••••• N••••••left Sep 14, 2018, registered Sep 20, 2018 (6 days) · RIA to RIA
- U•• F•••••••• S••••••••• L•• to O••• S••••• I••••••••• L••left Oct 17, 2017, registered May 10, 2018 (205 days) · Other
- M•• I•••••••• S•••••••• L•• to U•• F•••••••• S••••••••• L••left Sep 23, 2015, registered Sep 9, 2015 (-14 days) · Other
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 14, 2011, registered Aug 25, 2011 (223 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
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address