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.
K•••••• J••• K•••••••••
- A• M••• C•••••• P••• state registered currentsince Feb 1, 2022 · Jefferson, La
- M•••• H••••• W••••• M••••••••• independent RIAJul 3, 2019 to Jan 25, 2022 · New Orleans, La
- A••••••• A••••••• S••••••• formerOct 31, 2018 to Jun 3, 2019 · Lincoln, Ne
- C••••••• S••••••• L••• independent RIANov 5, 2016 to Dec 8, 2016 · Metairie, La
- P••••• M••••••••• G•••• formerOct 18, 2010 to Apr 20, 2016 · Harahan, La
- W••••••••• C•••••• G••••• L•• mixed wealthOct 22, 2009 to Oct 15, 2010 · Metairie, La
- M•••• H••••• W••••• M••••••••• to A• M••• C•••••• P•••left Jan 25, 2022, registered Feb 1, 2022 (7 days) · RIA to a state-registered adviser
- A••••••• A••••••• S••••••• to M•••• H••••• W••••• M•••••••••left Jun 3, 2019, registered Jul 3, 2019 (30 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- C••••••• S••••••• L••• to A••••••• A••••••• S•••••••left Dec 8, 2016, registered Oct 31, 2018 (692 days) · Other
- P••••• M••••••••• G•••• to C••••••• S••••••• L•••left Apr 20, 2016, registered Nov 5, 2016 (199 days) · Other
- W••••••••• C•••••• G••••• L•• to P••••• M••••••••• G••••left Oct 15, 2010, registered Oct 18, 2010 (3 days) · Other
- K•••••• J••• K••••••••• left M•••• H••••• W••••• M••••••••• for A• M••• C•••••• P••• (registered 2022-02-01)Jan 25, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address