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.
A•• E• W•••••••••
- W••••••••• C•••••• S•••••••• L•• state registered currentsince Apr 23, 2021 · Kenner, La
- L•• F•••••••• L•• BD affiliatedDec 1, 2014 to Dec 5, 2019 · Metairie, La
- M••••• K••••• • C••••••• L•• formerApr 3, 2007 to Apr 16, 2009 · New Orleans, La
- A••••••••• F•••••••• S•••••••• L•• national BDAug 31, 2006 to Apr 4, 2007 · Alpharetta, Ga
- L•• F•••••••• L•• to W••••••••• C•••••• S•••••••• L••left Dec 5, 2019, registered Apr 23, 2021 (505 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• K••••• • C••••••• L•• to L•• F•••••••• L••left Apr 16, 2009, registered Dec 1, 2014 (2055 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• K••••• • C••••••• L••left Apr 4, 2007, registered Apr 3, 2007 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address