DFX Intelligence

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.

Registered advisor

F•••••• A• R•••••••••

P•••••• I••••••••• A•••••••• L••independent RIABaton Rouge, La IA-onlyIAPD 3062026

Feed of 09/14/2026

Also filed as F•••••• Ann Griswold

At current firm

0 y

since Jul 1, 2026

In the industry

19 y

since Oct 6, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••• I••••••••• A•••••••• L•• independent RIA current
since Jul 1, 2026 · Albuquerque, Nm
L•••• F••• A••••••• S••••••• BD affiliated
Jul 14, 2023 to Jun 24, 2026 · Albuquerque, Nm
M••••• S•••••• wirehouse
Apr 22, 2013 to Jul 18, 2023 · Santa Fe, Nm
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Apr 18, 2013 · Santa Fe, Nm
A• G• E•••••• • S•••• I••• unclassified
Dec 8, 2006 to Jan 1, 2008 · Santa Fe, Nm

Moves

a registration end followed by a registration begin elsewhere

L•••• F••• A••••••• S••••••• to P•••••• I••••••••• A•••••••• L••
left Jun 24, 2026, registered Jul 1, 2026 (7 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to L•••• F••• A••••••• S•••••••
left Jul 18, 2023, registered Jul 14, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M••••• S••••••
left Apr 18, 2013, registered Apr 22, 2013 (4 days) · Wirehouse to wirehouse
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

F•••••• A• R••••••••• left L•••• F••• A••••••• S••••••• for P•••••• I••••••••• A•••••••• L•• (registered 2026-07-01)
Jun 24, 2026 · Advisor changed firm · fact
F•••••• A• R••••••••• left M••••• S•••••• for L•••• F••• A••••••• S••••••• (registered 2023-07-14)
Jul 18, 2023 · Advisor changed firm · fact

Transition signals

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.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address