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•••• G••••• M••••
- S••••• L••• C••••••• L•• independent RIA currentsince Jun 19, 2023 · Metairie, La
- A•••••• R••••••• C•••••• independent RIAApr 18, 2019 to Jun 16, 2023 · Metairie, La
- W•••• F•••• A••••••• wirehouseApr 12, 2010 to Apr 25, 2019 · New Orleans, La
- A•••••• R••••••• C•••••• to S••••• L••• C••••••• L••left Jun 16, 2023, registered Jun 19, 2023 (3 days) · RIA to a newly registered adviser
- W•••• F•••• A••••••• to A•••••• R••••••• C••••••left Apr 25, 2019, registered Apr 18, 2019 (-7 days) · Wirehouse to independent RIA
- B•••• G••••• M•••• left A•••••• R••••••• C•••••• for S••••• L••• C••••••• L•• (registered 2023-06-19)Jun 16, 2023 · a•••••• firm change · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address