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.
M••••••• R••••••• T••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Mar 18, 2008 · Baton Rouge, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIADec 14, 2007 to Mar 4, 2008 · Baton Rouge, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 2007 to Dec 3, 2007 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• to V•••• F•••••••• A•••••••• I•••left Mar 4, 2008, registered Mar 18, 2008 (14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• W•••••• I••••••••• S••••••• I•••left Dec 3, 2007, registered Dec 14, 2007 (11 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address