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.
P•••• L•••• S•• M•••••
- S••••• L••• C••••••• L•• independent RIA currentsince May 18, 2023 · Metairie, La
- L•• F•••••••• L•• BD affiliatedFeb 21, 2019 to Oct 7, 2020 · Metairie, La
- A•••••• R••••••• C•••••• independent RIAAug 2, 2018 to May 31, 2023 · Metairie, La
- L•••• F••• A••••••• S••••••• BD affiliatedFeb 1, 2018 to Aug 2, 2018 · Metairie, La
- T•• S•••• F•••••••• G•••• formerOct 21, 2015 to Dec 13, 2017 · Baton Rouge, La
- A•••••• R••••••• C•••••• to L•• F•••••••• L••left May 31, 2023, registered Feb 21, 2019 (-1560 days) · RIA to RIA
- L•• F•••••••• L•• to S••••• L••• C••••••• L••left Oct 7, 2020, registered May 18, 2023 (953 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L•••• F••• A••••••• S••••••• to A•••••• R••••••• C••••••left Aug 2, 2018, registered Aug 2, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- T•• S•••• F•••••••• G•••• to L•••• F••• A••••••• S•••••••left Dec 13, 2017, registered Feb 1, 2018 (50 days) · Other
- P•••• L•••• S•• M••••• left A•••••• R••••••• C•••••• for L•• F•••••••• L•• (registered 2019-02-21)May 31, 2023 · a•••••• firm change · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address