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.
W••••• M••••• A•••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Nov 21, 2019 · Baton Rouge, La
- M••••• S•••••• wirehouseAug 2, 2013 to Nov 22, 2019 · Baton Rouge, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 6, 2007 to Aug 5, 2013 · Baton Rouge, La
- M••••• K••••• • C••••••• L•• formerAug 16, 2004 to Jul 12, 2007 · Baton Rouge, La
- M••••• S•••••• to S•••••• W••••• P•••••••• L••left Nov 22, 2019, registered Nov 21, 2019 (-1 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 5, 2013, registered Aug 2, 2013 (-3 days) · Wirehouse to wirehouse
- M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2007, registered Jul 6, 2007 (-6 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address