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.
F•••••• S•••••• D•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 15, 2018 · Mandeville, La
- W•••• F•••• A••••••• wirehouseJul 31, 2013 to Jun 19, 2018 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAMay 6, 2013 to Aug 8, 2013 · New Orleans, La
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jun 19, 2018, registered Jun 15, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- H•••••• W•••••• I••••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 8, 2013, registered Jul 31, 2013 (-8 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address