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.
C••••••••• C••• S••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 9, 2024 · Lafayette, La
- C••••• A••••••• L•• formerJan 7, 2019 to Oct 18, 2023 · Baton Rouge, La
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 16, 2018 to Nov 30, 2018 · Lafayette, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAJul 20, 2012 to Oct 5, 2017 · New Orleans, La
- C•••• I••••••••• S••••••• C•••• formerDec 21, 2011 to Jul 27, 2012 · Scott, La
- P•••• S••••••••• L•• no RAUMApr 1, 2010 to Nov 21, 2011 · Ridgeland, Ms
- E•••• N••••••• S••••••••• I••• formerJun 19, 2009 to Mar 11, 2010 · Lafayette, La
- C••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 18, 2023, registered Jan 9, 2024 (83 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••••• A••••••• L••left Nov 30, 2018, registered Jan 7, 2019 (38 days) · Affiliated broker-dealer or bank to another
- H•••••• W•••••• I••••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left Oct 5, 2017, registered Feb 16, 2018 (134 days) · Other
- C•••• I••••••••• S••••••• C•••• to H•••••• W•••••• I••••••••• S••••••• I•••left Jul 27, 2012, registered Jul 20, 2012 (-7 days) · Other
- P•••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Nov 21, 2011, registered Dec 21, 2011 (30 days) · Other
- E•••• N••••••• S••••••••• I••• to P•••• S••••••••• L••left Mar 11, 2010, registered Apr 1, 2010 (21 days) · Other
- C••••••••• C••• S•••••• left C••••• A••••••• L•• for C•••••• S••••• • C••• I••• (registered 2024-01-09)Oct 18, 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address