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.
W•••••• D• L• V••••• S• P•••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Harvey, La
- W••••••• F•••••••• S•••••••• I••• formerJul 11, 2018 to Jan 19, 2024 · Harvey, La
- C•••••• O•• A•••••••• L•• formerMay 11, 2016 to Jul 11, 2018 · Harvey, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAJun 18, 2015 to Apr 20, 2016 · New Orleans, La
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Jun 11, 2015 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJun 29, 2012 to Jan 28, 2015 · Melville, Ny
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- C•••••• O•• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 11, 2018, registered Jul 11, 2018 (0 days) · corporate re-registration, not a move
- H•••••• W•••••• I••••••••• S••••••• I••• to C•••••• O•• A•••••••• L••left Apr 20, 2016, registered May 11, 2016 (21 days) · Other
- C•••••• O•• A•••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Jun 11, 2015, registered Jun 18, 2015 (7 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address