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.
M••••• R•• C•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 9, 2015 · New Orleans, La
- P••• A••••• S••••••••• L•• BD affiliatedMay 10, 2012 to Sep 9, 2015 · Metairie, La
- M••••• K••••• • C••••••• L•• formerApr 26, 2010 to Mar 5, 2012 · New Orleans, La
- C•••• I••••••••• S••••••• C•••• formerOct 16, 2009 to Apr 13, 2010 · Metairie, La
- P••• A••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 9, 2015, registered Sep 9, 2015 (0 days) · Other
- M••••• K••••• • C••••••• L•• to P••• A••••• S••••••••• L••left Mar 5, 2012, registered May 10, 2012 (66 days) · Other
- C•••• I••••••••• S••••••• C•••• to M••••• K••••• • C••••••• L••left Apr 13, 2010, registered Apr 26, 2010 (13 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address