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.
B••••••• S•••••• B•••••
- S••••• L••• C••••••• L•• independent RIA currentsince Jun 2, 2023 · Folsom, La
- A•••••• R••••••• C•••••• independent RIAAug 2, 2018 to May 31, 2023 · Covington, La
- L•••• F••• A••••••• S••••••• BD affiliatedJul 3, 2017 to Aug 2, 2018 · Metairie, La
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 12, 2017 · Mandeville, La
- C•••• I••••••••• S••••••• C•••• formerJun 13, 2008 to Oct 1, 2012 · Covington, La
- F•••• C•••••• F•••••••• P•••••••• I••• formerApr 18, 2007 to Jun 4, 2008 · Leesville, La
- A•••••• R••••••• C•••••• to S••••• L••• C••••••• L••left May 31, 2023, registered Jun 2, 2023 (2 days) · RIA to a newly registered adviser · moved with a team
- L•••• F••• A••••••• S••••••• to A•••••• R••••••• C••••••left Aug 2, 2018, registered Aug 2, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- J••• M••••• S••••••••• L•• to L•••• F••• A••••••• S•••••••left Jul 12, 2017, registered Jul 3, 2017 (-9 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- F•••• C•••••• F•••••••• P•••••••• I••• to C•••• I••••••••• S••••••• C••••left Jun 4, 2008, registered Jun 13, 2008 (9 days) · Other
- B••••••• S•••••• B••••• left A•••••• R••••••• C•••••• for S••••• L••• C••••••• L•• (registered 2023-06-02)May 31, 2023 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address