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••••• B••••• T•••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Nov 30, 2020 · Metairie, La
- C••••••••• F•••••••• N•••••• national BDApr 30, 2018 to Oct 5, 2020 · Metairie, La
- C•••••• O•• A•••••••• L•• formerDec 17, 2015 to May 2, 2018 · Harahan, La
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 27, 2012 to Dec 4, 2015 · New Orleans, La
- S••••• A••• A•••• M••••••••• I••• formerOct 13, 2011 to Aug 28, 2012 · Birmingham, Al
- C••••••••• F•••••••• N•••••• to B••••• P••••• A•••••••• L••left Oct 5, 2020, registered Nov 30, 2020 (56 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C•••••• O•• A•••••••• L•• to C••••••••• F•••••••• N••••••left May 2, 2018, registered Apr 30, 2018 (-2 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to C•••••• O•• A•••••••• L••left Dec 4, 2015, registered Dec 17, 2015 (13 days) · Other
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 28, 2012, registered Aug 27, 2012 (-1 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address