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.
T•••••• C•••• N•••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Jun 16, 2023 · Metairie, La
- C••••• S••••• A•••••••• I••• formerJan 4, 2020 to Jun 16, 2023 · Metairie, La
- M•••••• A••••• S••••••••• L•• BD affiliatedJun 22, 2018 to Dec 31, 2019 · Kenner, La
- A• W••••• M••••••••• L•• BD affiliatedJun 7, 2018 to Jun 21, 2018 · Kenner, La
- G•••••• R•••• L•• D•• G•••••• R•••• • A••••••••• formerMay 6, 2016 to Jul 26, 2017 · Metairie, La
- C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jun 16, 2023, registered Jun 16, 2023 (0 days) · RIA to affiliated broker-dealer or bank
- M•••••• A••••• S••••••••• L•• to C••••• S••••• A•••••••• I•••left Dec 31, 2019, registered Jan 4, 2020 (4 days) · RIA to RIA
- A• W••••• M••••••••• L•• to M•••••• A••••• S••••••••• L••left Jun 21, 2018, registered Jun 22, 2018 (1 days) · RIA to RIA
- G•••••• R•••• L•• D•• G•••••• R•••• • A••••••••• to A• W••••• M••••••••• L••left Jul 26, 2017, registered Jun 7, 2018 (316 days) · Other
- T•••••• C•••• N••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-06-16)Jun 16, 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