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.
S•••• B• S••••
- A••••••• W••••• A••••••• BD affiliated currentsince Jun 20, 2024 · Metairie, La
- L•• F•••••••• L•• BD affiliatedSep 10, 2018 to Jun 25, 2024 · New Orleans, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIADec 26, 2017 to Sep 14, 2018 · New Orleans, La
- L•• F•••••••• L•• to A••••••• W••••• A•••••••left Jun 25, 2024, registered Jun 20, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- H•••••• W•••••• I••••••••• S••••••• I••• to L•• F•••••••• L••left Sep 14, 2018, registered Sep 10, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- S•••• B• S•••• left L•• F•••••••• L•• for A••••••• W••••• A••••••• (registered 2024-06-20)Jun 25, 2024 · Advisor changed firm · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address