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•••••• A•••••• S•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Metairie, La
- M•• F•••••••• S•••••••• I••• formerSep 3, 2014 to Mar 25, 2017 · Metairie, La
- U••• F•••••••• P••••••• S••••••• formerNov 16, 2009 to Jan 21, 2014 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseJun 19, 2008 to Oct 26, 2009 · Baton Rouge, La
- E••••• J•••• national BDJan 16, 2007 to Jun 20, 2008 · St Francisville, La
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to M•• F•••••••• S•••••••• I•••left Jan 21, 2014, registered Sep 3, 2014 (225 days) · Other
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Oct 26, 2009, registered Nov 16, 2009 (21 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E••••• J•••• to W•••• F•••• A•••••••left Jun 20, 2008, registered Jun 19, 2008 (-1 days) · Affiliated broker-dealer or bank to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address