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.
R••• R••••••
- S•••• I••••• S••••••••• L•• independent RIA currentsince Apr 17, 2023 · Baton Rouge, La
- P•••••••• D•••••• state registeredOct 26, 2022 to Jun 14, 2023 · The Woodlands, Tx
- L•••••••• A•••••••• L•• independent RIAMay 5, 2021 to Nov 3, 2022 · Grand Rapids, Mi
- B••••••••• W••••• A•••••••• L•• no RAUMJun 17, 2019 to May 18, 2021 · Lafayette, La
- P••• A••••• S••••••••• L•• BD affiliatedApr 29, 2015 to Feb 23, 2016 · Lafayette, La
- P••• A••••• S••••••••• L•• BD affiliatedSep 18, 2002 to Feb 7, 2005 · Lafayette, La
- P•••••••• D•••••• to S•••• I••••• S••••••••• L••left Jun 14, 2023, registered Apr 17, 2023 (-58 days) · Other
- L•••••••• A•••••••• L•• to P•••••••• D••••••left Nov 3, 2022, registered Oct 26, 2022 (-8 days) · RIA to a state-registered adviser
- B••••••••• W••••• A•••••••• L•• to L•••••••• A•••••••• L••left May 18, 2021, registered May 5, 2021 (-13 days) · RIA to RIA
- P••• A••••• S••••••••• L•• to B••••••••• W••••• A•••••••• L••left Feb 23, 2016, registered Jun 17, 2019 (1210 days) · Other
- R••• R•••••• left P•••••••• D•••••• for S•••• I••••• S••••••••• L•• (registered 2023-04-17)Jun 14, 2023 · Advisor changed firm · fact
- R••• R•••••• left L•••••••• A•••••••• L•• for P•••••••• D•••••• (registered 2022-10-26)Nov 3, 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address