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.
A••• B••••• C••••
- P•••••• I••••••••• A•••••••• L•• independent RIA currentsince May 28, 2021 · Baton Rouge, La
- L•••• F••• A••••••• S••••••• BD affiliatedJan 16, 2018 to Jun 2, 2021 · Baton Rouge, La
- O••••••••• S••••••••• I••• BD affiliatedAug 5, 2011 to Jul 27, 2017 · Baton Rouge, La
- M•• F•••••••• S•••••••• I••• formerJun 2, 2006 to Jun 29, 2011 · Baton Rouge, La
- L•••• F••• A••••••• S••••••• to P•••••• I••••••••• A•••••••• L••left Jun 2, 2021, registered May 28, 2021 (-5 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- O••••••••• S••••••••• I••• to L•••• F••• A••••••• S•••••••left Jul 27, 2017, registered Jan 16, 2018 (173 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to O••••••••• S••••••••• I•••left Jun 29, 2011, registered Aug 5, 2011 (37 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address