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•••••• S•••• H••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2022 · Kenner, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAJun 13, 2019 to Aug 10, 2022 · Kenner, La
- J••• M••••• S••••••••• L•• wirehouseDec 22, 2016 to Jun 18, 2019 · Metairie, La
- D••••• • C•••••• I••• formerJun 4, 2009 to Nov 16, 2016 · New Orleans, La
- 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
- J••• M••••• S••••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Jun 18, 2019, registered Jun 13, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- D••••• • C•••••• I••• to J••• M••••• S••••••••• L••left Nov 16, 2016, registered Dec 22, 2016 (36 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address