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•••• V••• P••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2022 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAMay 13, 2013 to Aug 10, 2022 · Mandeville, La
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 24, 2013 to Apr 30, 2013 · Slidell, La
- P•• W••••• M••••••••• BD affiliatedMar 9, 2012 to Feb 14, 2013 · Palm Beach Gardens, Fl
- R•• C•••••• M••••••• L•• national BDNov 13, 2009 to Feb 17, 2012 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseDec 2, 2004 to Nov 3, 2009 · Orlando, Fl
- S••••••• I••••••••• S•••••••• I••• formerFeb 9, 2000 to Nov 3, 2004 · Orlando, Fl
- H•••••• W•••••• I••••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2022, registered Aug 10, 2022 (0 days) · corporate re-registration, not a move
- A••••••• F•••••••• A•••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Apr 30, 2013, registered May 13, 2013 (13 days) · Other
- P•• W••••• M••••••••• to A••••••• F•••••••• A•••••••• L••left Feb 14, 2013, registered Apr 24, 2013 (69 days) · Other
- R•• C•••••• M••••••• L•• to P•• W••••• M•••••••••left Feb 17, 2012, registered Mar 9, 2012 (21 days) · Other
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Nov 3, 2009, registered Nov 13, 2009 (10 days) · Wirehouse to affiliated broker-dealer or bank
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 3, 2004, registered Dec 2, 2004 (29 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address