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.
C•••••••• D• C•••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 10, 2024 · Bellaire, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 10, 2022 to Nov 18, 2022 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAJan 15, 2014 to Aug 10, 2022 · Denham Springs, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 7, 2008 to Nov 20, 2012 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 18, 2007 to Jan 17, 2008 · New Orleans, La
- C••••• I••••••••• A••••••• L•• to K••••• A••••••• S•••••••• L••left Nov 18, 2022, registered Apr 10, 2024 (509 days) · Affiliated broker-dealer or bank to another
- H•••••• W•••••• I••••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2022, registered Aug 10, 2022 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• W•••••• I••••••••• S••••••• I•••left Nov 20, 2012, registered Jan 15, 2014 (421 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 17, 2008, registered Mar 7, 2008 (50 days) · Other
- C•••••••• D• C••••••• left C••••• I••••••••• A••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2024-04-10)Nov 18, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address