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.
B•••• W••••• L••
- B•••• L•• F•••••••• G••••• L•• independent RIA currentsince Dec 12, 2019 · Baton Rouge, La
- M•••••• A••••• S••••••••• L•• BD affiliatedJun 12, 2017 to Dec 22, 2020 · Baton Rouge, La
- I••••••••• A••••••• C••• formerOct 29, 2008 to Jun 9, 2017 · Baton Rouge, La
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 21, 2007 to Oct 30, 2008 · Los Angeles, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 19, 2007 to May 24, 2007 · Baton Rouge, La
- M•••••• A••••• S••••••••• L•• to B•••• L•• F•••••••• G••••• L••left Dec 22, 2020, registered Dec 12, 2019 (-376 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• A••••••• C••• to M•••••• A••••• S••••••••• L••left Jun 9, 2017, registered Jun 12, 2017 (3 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to I••••••••• A••••••• C•••left Oct 30, 2008, registered Oct 29, 2008 (-1 days) · Other
- V••• F•••••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 24, 2007, registered May 21, 2007 (-3 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address