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.
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- O•••• W•••••• I••• BD affiliated currentsince Apr 5, 2021 · Baton Rouge, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAFeb 8, 2019 to Apr 22, 2021 · New Orleans, La
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jan 23, 2019 · Baton Rouge, La
- C••••• I••••••••• S••••••• L•• formerOct 23, 2013 to Jan 21, 2014 · Hoover, Al
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 17, 2009 to Aug 28, 2012 · Baton Rouge, La
- S••••••• G•••• C•••••• unclassifiedJul 22, 2008 to Mar 13, 2009 · Baton Rouge, La
- H•••••• W•••••• I••••••••• S••••••• I••• to O•••• W•••••• I•••left Apr 22, 2021, registered Apr 5, 2021 (-17 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Jan 23, 2019, registered Feb 8, 2019 (16 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to C••••• I••••••••• S••••••• L••left Aug 28, 2012, registered Oct 23, 2013 (421 days) · Other
- S••••••• G•••• C•••••• to T••••••••• F•••••••• A•••••••• L••left Mar 13, 2009, registered Mar 17, 2009 (4 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address