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.
S•••••• T••••• S••••••••
- L••• O•• W••••• M••••••••• L•• state registered currentsince Feb 3, 2020 · Covington, La
- S••••••••• A•••••• A•••••••• I••• formerNov 29, 2011 to Feb 3, 2020 · Mandeville, La
- W••••• S••••• S••••••••• I••• formerFeb 11, 2010 to Dec 5, 2011 · Mandeville, La
- L••• O•• A••••••• G••••• L•• unclassifiedOct 14, 2009 to Jan 29, 2010 · Mandeville, La
- S••••••••• A•••••• A•••••••• I••• to L••• O•• W••••• M••••••••• L••left Feb 3, 2020, registered Feb 3, 2020 (0 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- W••••• S••••• S••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 5, 2011, registered Nov 29, 2011 (-6 days) · Other
- L••• O•• A••••••• G••••• L•• to W••••• S••••• S••••••••• I•••left Jan 29, 2010, registered Feb 11, 2010 (13 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address