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.
T•••••• K••• A••••
- S••••• L••• C••••••• L•• independent RIA currentsince May 18, 2023 · Metairie, La
- A•••••• R••••••• C•••••• independent RIAAug 2, 2018 to May 18, 2023 · Gretna, La
- L•••• F••• A••••••• S••••••• BD affiliatedJun 17, 2015 to Aug 2, 2018 · Gretna, La
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 17, 2015 · Gretna, La
- C•••• I••••••••• S••••••• C•••• formerDec 17, 2009 to Oct 1, 2012 · New Orleans, La
- W•••• F•••• A••••••• wirehouseMar 13, 2009 to Aug 20, 2009 · Metairie, La
- A•••••• R••••••• C•••••• to S••••• L••• C••••••• L••left May 18, 2023, registered May 18, 2023 (0 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 Jun 17, 2015, registered Jun 17, 2015 (0 days) · Other · moved with a team
- 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
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Aug 20, 2009, registered Dec 17, 2009 (119 days) · Other
- T•••••• K••• A•••• left A•••••• R••••••• C•••••• for S••••• L••• C••••••• L•• (registered 2023-05-18)May 18, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address