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••••• R••••• S•••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Mar 17, 2025 · Baton Rouge, La
- H••••••• W••••• P•••••••• L•• independent RIAJul 24, 2023 to Mar 7, 2025 · Baton Rouge, La
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 15, 2019 to Jul 20, 2023 · Metairie, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAMay 24, 2017 to Feb 19, 2019 · New Orleans, La
- S••• I••••••••• C•••••• independent RIASep 26, 2016 to May 23, 2017 · Metairie, La
- H•••••• W•••••• I••••••••• S••••••• I••• independent RIAAug 3, 2015 to Sep 23, 2016 · New Orleans, La
- H••••••• W••••• P•••••••• L•• to S•••••• W••••• P•••••••• L••left Mar 7, 2025, registered Mar 17, 2025 (10 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to H••••••• W••••• P•••••••• L••left Jul 20, 2023, registered Jul 24, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••• W•••••• I••••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 19, 2019, registered Feb 15, 2019 (-4 days) · Affiliated broker-dealer or bank to another
- S••• I••••••••• C•••••• to H•••••• W•••••• I••••••••• S••••••• I•••left May 23, 2017, registered May 24, 2017 (1 days) · Other
- H•••••• W•••••• I••••••••• S••••••• I••• to S••• I••••••••• C••••••left Sep 23, 2016, registered Sep 26, 2016 (3 days) · Other
- A••••• R••••• S••••••• left H••••••• W••••• P•••••••• L•• for S•••••• W••••• P•••••••• L•• (registered 2025-03-17)Mar 7, 2025 · Advisor changed firm · fact
- A••••• R••••• S••••••• left A••••••••• F•••••••• S•••••••• L•• for H••••••• W••••• P•••••••• L•• (registered 2023-07-24)Jul 20, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address