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•••• M•••••• D•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 9, 2018 · Covington, La
- C•••••• O•• A•••••••• L•• formerJul 18, 2016 to Mar 28, 2018 · Mclean, Va
- O•••• I••••••••• I••• BD affiliatedJul 1, 2016 to Jul 7, 2016 · Metairie, La
- E•••• N••••••• S••••••••• I••• formerMay 5, 2015 to Jul 1, 2016 · Metairie, La
- E•••• N••••••• S••••••••• I••• formerMar 11, 2015 to Mar 16, 2015 · Metairie, La
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 8, 2015 · New Orleans, La
- C•••• I••••••••• S••••••• C•••• formerMar 14, 2012 to Oct 1, 2012 · New Orleans, La
- C•••••• O•• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 28, 2018, registered Apr 9, 2018 (12 days) · Other
- O•••• I••••••••• I••• to C•••••• O•• A•••••••• L••left Jul 7, 2016, registered Jul 18, 2016 (11 days) · Other
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to E•••• N••••••• S••••••••• I•••left May 8, 2015, registered Mar 11, 2015 (-58 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
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address