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•••••• N•••••• B••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Baton Rouge, La
- W•••• F•••• A••••••• wirehouseMar 2, 2017 to Sep 23, 2022 · Baton Rouge, La
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 6, 2017 · Zachary, La
- C•••• I••••••••• S••••••• C•••• formerDec 6, 2007 to Oct 1, 2012 · Baton Rouge, La
- L•• F•••••••• L•• BD affiliatedSep 1, 2005 to Aug 15, 2006 · Baton Rouge, La
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Sep 23, 2022, registered Jun 29, 2023 (279 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 6, 2017, registered Mar 2, 2017 (-4 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 15, 2006, registered Dec 6, 2007 (478 days) · Other
- R•••••• N•••••• B•••• left W•••• F•••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Sep 23, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address