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.
D••••• E• L•••••• I••
- W•••• F•••• A••••••• wirehouse currentsince Oct 12, 2023 · Lafayette, La
- L•• F•••••••• L•• BD affiliatedAug 26, 2019 to Oct 20, 2023 · Lafayette, La
- S••••• F•••••••• G•••• I•• formerAug 14, 2009 to Sep 3, 2019 · Lafayette, La
- U•• F•••••••• S••••••• I••• wirehouseFeb 1, 2005 to Aug 24, 2009 · Lafayette, La
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Oct 20, 2023, registered Oct 12, 2023 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- S••••• F•••••••• G•••• I•• to L•• F•••••••• L••left Sep 3, 2019, registered Aug 26, 2019 (-8 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S••••• F•••••••• G•••• I••left Aug 24, 2009, registered Aug 14, 2009 (-10 days) · Other
- D••••• E• L•••••• I•• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2023-10-12)Oct 20, 2023 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address