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• B••••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 14, 2024 · Harvey, La
- F•••• H•••••• A•••••••• I•• formerJan 22, 2021 to Oct 15, 2024 · Lafayette, La
- O•••• I••••••••• I••• BD affiliatedJul 1, 2016 to Jan 22, 2021 · Mandeville, La
- E•••• N••••••• S••••••••• I••• formerNov 26, 2007 to Jul 1, 2016 · Metairie, La
- C•••••••• F•••••••• G•••• A••••••• formerSep 27, 2005 to Nov 15, 2007 · Prairieville, La
- W•••• F•••• I••••••••• L•• unclassifiedNov 15, 2001 to Nov 13, 2003 · Houston, Tx
- F•••• H•••••• A•••••••• I•• to W•••• F•••• A•••••••left Oct 15, 2024, registered Oct 14, 2024 (-1 days) · RIA to wirehouse · moved with a team
- O•••• I••••••••• I••• to F•••• H•••••• A•••••••• I••left Jan 22, 2021, registered Jan 22, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- C•••••••• F•••••••• G•••• A••••••• to E•••• N••••••• S••••••••• I•••left Nov 15, 2007, registered Nov 26, 2007 (11 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Nov 13, 2003, registered Sep 27, 2005 (684 days) · Other
- J••••• P• B•••••• left F•••• H•••••• A•••••••• I•• for W•••• F•••• A••••••• (registered 2024-10-14)Oct 15, 2024 · 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address