RIA Intelligence

• H•••••••• A•••••••• L•• BD affiliated current
  since May 19, 2023 · Mandeville, La
• B•••• L•• F•••••••• G••••• L•• independent RIA
  May 23, 2020 to Apr 26, 2023 · Baton Rouge, La
• A••••••••• independent RIA
  Apr 12, 2016 to May 20, 2020 · Baton Rouge, La
• L•• F•••••••• L•• BD affiliated
  Mar 25, 2015 to Mar 31, 2016 · Baton Rouge, La
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Mar 4, 2013 to Feb 13, 2015 · Baton Rouge, La

• B•••• L•• F•••••••• G••••• L•• to H•••••••• A•••••••• L••
  left Apr 26, 2023, registered May 19, 2023 (23 days) · RIA to affiliated broker-dealer or bank
• A••••••••• to B•••• L•• F•••••••• G••••• L••
  left May 20, 2020, registered May 23, 2020 (3 days) · RIA to RIA
• L•• F•••••••• L•• to A•••••••••
  left Mar 31, 2016, registered Apr 12, 2016 (12 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
  left Feb 13, 2015, registered Mar 25, 2015 (40 days) · Other

• K•••• P••• V•••••• left B•••• L•• F•••••••• G••••• L•• for H•••••••• A•••••••• L•• (registered 2023-05-19)
  Apr 26, 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

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