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••• P•••• G•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Baton Rouge, La
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 14, 2018 to Jun 9, 2021 · Baton Rouge, La
- C•••••• O•• A•••••••• L•• formerJun 9, 2016 to Mar 6, 2018 · Baton Rouge, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAFeb 11, 2014 to Jun 10, 2016 · New Orleans, La
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 7, 2014 · Baton Rouge, La
- C•••• I••••••••• S••••••• C•••• formerJan 5, 2012 to Oct 1, 2012 · Baton Rouge, La
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 19, 2011 to Nov 4, 2011 · Baton Rouge, La
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- C•••••• O•• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Mar 6, 2018, registered Mar 14, 2018 (8 days) · Other
- H•••••• W•••••• I••••••••• S••••••• I••• to C•••••• O•• A•••••••• L••left Jun 10, 2016, registered Jun 9, 2016 (-1 days) · Other
- J••• M••••• S••••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••left Feb 7, 2014, registered Feb 11, 2014 (4 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
- N••••••••• M••••• I••••••••• S••••••••• to C•••• I••••••••• S••••••• C••••left Nov 4, 2011, registered Jan 5, 2012 (62 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
- 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