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.
J••••• P•••• S•••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Dec 6, 2021 · New Orleans, La
- D••••• • C•••••• I••• formerNov 20, 2007 to Dec 3, 2021 · New Orleans, La
- E••••• J•••• national BDJan 12, 2007 to Dec 13, 2007 · Gretna, La
- D••••• • C•••••• I••• to P••••••• F•••••••• S•••••••• I•••left Dec 3, 2021, registered Dec 6, 2021 (3 days) · RIA to RIA · moved with a team
- E••••• J•••• to D••••• • C•••••• I•••left Dec 13, 2007, registered Nov 20, 2007 (-23 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address