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.
D•••••• C• T•••
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Jan 9, 2023 · Mandeville, La
- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliatedOct 14, 2016 to Jan 11, 2023 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 21, 2012 to Oct 17, 2016 · Mandeville, La
- B••••••• F• E•••••• • C••••••• I••••••••• to C••••••••• I••••••••• A•••••••• L••left Jan 11, 2023, registered Jan 9, 2023 (-2 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• F• E•••••• • C••••••• I•••••••••left Oct 17, 2016, registered Oct 14, 2016 (-3 days) · Other · moved with a team
- D•••••• C• T••• left B••••••• F• E•••••• • C••••••• I••••••••• for C••••••••• I••••••••• A•••••••• L•• (registered 2023-01-09)Jan 11, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address