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.
D•••• L••••• M•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 12, 2016 · New Orleans, La
- S••••••• F•••••••• S•••••••• I••• formerAug 20, 2002 to Feb 15, 2016 · Metairie, La
- B••• O•• S••••••••• C••••••••• unclassifiedJan 28, 2002 to Aug 13, 2002 · New Orleans, La
- S••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 15, 2016, registered Feb 12, 2016 (-3 days) · Other
- B••• O•• S••••••••• C••••••••• to S••••••• F•••••••• S•••••••• I•••left Aug 13, 2002, registered Aug 20, 2002 (7 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address