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.
- C••• L•• BD affiliated currentsince Mar 31, 2025 · Prairieville, La
- A••••••••• F•••••••• S•••••••• L•• national BDJan 25, 2019 to May 21, 2025 · Gonzales, La
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 1, 2014 to Jan 25, 2019 · Lafayette, La
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedMay 15, 2013 to Jun 27, 2014 · Melville, Ny
- S••••• F•••••••• G•••• I•• formerAug 29, 2011 to Jun 18, 2012 · Lafayette, La
- A••••••••• F•••••••• S•••••••• L•• to C••• L••left May 21, 2025, registered Mar 31, 2025 (-51 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Jan 25, 2019, registered Jan 25, 2019 (0 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• F•••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 27, 2014, registered Jul 1, 2014 (4 days) · Other
- S••••• F•••••••• G•••• I•• to C•••••• O•• F•••••••• A••••••• L••left Jun 18, 2012, registered May 15, 2013 (331 days) · Other
- D••• J•••••• left A••••••••• F•••••••• S•••••••• L•• for C••• L•• (registered 2025-03-31)May 21, 2025 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address