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•••••• L•• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 12, 2013 · Abita Springs, La
- F•• A•••••••• I••• unclassifiedDec 17, 2012 to Sep 18, 2013 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAFeb 7, 2012 to Dec 19, 2012 · Mandeville, La
- C••••• I••••••••• S••••••• L•• formerJun 22, 2010 to Feb 13, 2012 · Mandeville, La
- C••••• I••••••••• S••••••• L•• formerMay 9, 2008 to Jul 22, 2008 · New Orleans, La
- F•• A•••••••• I••• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 12, 2013 (-6 days) · Other
- H•••••• W•••••• I••••••••• S••••••• I••• to F•• A•••••••• I•••left Dec 19, 2012, registered Dec 17, 2012 (-2 days) · Other
- C••••• I••••••••• S••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Feb 13, 2012, registered Feb 7, 2012 (-6 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address