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.
K••• L•• W•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 2, 2020 · Metairie, La
- N••• F•••••••• G••••• I••• formerOct 1, 2013 to Dec 31, 2019 · Metairie, La
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 29, 2010 to Oct 3, 2013 · Metairie, La
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 20, 2008 to Oct 28, 2010 · Metairie, La
- N••• F•••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2019, registered Jan 2, 2020 (2 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to N••• F•••••••• G••••• I•••left Oct 3, 2013, registered Oct 1, 2013 (-2 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address