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.
A•••••• T••••• E••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2022 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAJul 8, 2019 to Aug 10, 2022 · New Orleans, La
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 9, 2019 · Metairie, La
- M•• F•••••••• S•••••••• I••• formerSep 29, 2008 to Mar 25, 2017 · Metairie, La
- H•••••• W•••••• I••••••••• S••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2022, registered Aug 10, 2022 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Jul 9, 2019, registered Jul 8, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address