DFX Intelligence

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.

Registered advisor

N••••• M••••••• A•••••••

N•••••• A•••••••BD affiliatedNew Orleans, La IA-onlyIAPD 5073307

Feed of 09/14/2026

At current firm

1 y

since Sep 23, 2024

In the industry

25 y

since Feb 1, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••• A••••••• BD affiliated current
since Sep 23, 2024 · New Orleans, La
H•• I••••••••• P•••••••• L•• independent RIA
Jan 5, 2022 to Oct 16, 2024 · Austin, Tx
H•• I••••••••• P•••••••• L•• independent RIA
Jul 3, 2020 to Dec 31, 2021 · Temecula, Ca
T•• A•••••••• L• former
Mar 11, 2020 to Dec 8, 2020 · Temecula, Ca
A•••••• A••••••• S••••••• former
Oct 25, 2019 to Mar 12, 2020 · Irving, Tx
R••••• F•••••••• former
Mar 11, 2013 to Jan 29, 2020 · Temecula, Ca
1•• G••••• A••••••• I•• former
Jun 20, 2007 to Oct 25, 2019 · Temecula, Ca

Moves

a registration end followed by a registration begin elsewhere

H•• I••••••••• P•••••••• L•• to N•••••• A•••••••
left Oct 16, 2024, registered Sep 23, 2024 (-23 days) · RIA to affiliated broker-dealer or bank
T•• A•••••••• L• to H•• I••••••••• P•••••••• L••
left Dec 8, 2020, registered Jul 3, 2020 (-158 days) · Other · moved with a team
A•••••• A••••••• S••••••• to T•• A•••••••• L•
left Mar 12, 2020, registered Mar 11, 2020 (-1 days) · Other
R••••• F•••••••• to A•••••• A••••••• S•••••••
left Jan 29, 2020, registered Oct 25, 2019 (-96 days) · RIA to affiliated broker-dealer or bank
1•• G••••• A••••••• I•• to R••••• F••••••••
left Oct 25, 2019, registered Mar 11, 2013 (-2419 days) · Other · moved with a team

Signals

N••••• M••••••• A••••••• left H•• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2024-09-23)
Oct 16, 2024 · Advisor changed firm · fact

Transition signals

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.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address